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Public Company Bankruptcy Cases Opened and Monitored for Fiscal Year 2009
Public Company Bankruptcy Cases Opened and Monitored for Fiscal Year 2009
Business Enterprise
cases, SEC, bankruptcy, court, ...
This file contains all of the bankruptcy cases for public companies opened and monitored in the fiscal year 2009. The data includes the District Court, the state, the company name, assets, and liabilities.
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1,880 views
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2.
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Investment Company Series and Class Information
Investment Company Series and Class Information
Business Enterprise
Central Index Key., CIK, SEC, ...
The Series and Class Report provides basic identification information for all active registered investment company series and classes that have been issued IDs by the Commission. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds (Form N-3 filers), insurance separate accounts organized as unit investment trusts (Form N-4 and Form N-6 filers). Investment companies (see adopting release http://www.sec.gov/rules/final/33-8590.pdf) have been required to use these IDs when making their electronic filings with the Commission. Since February 6, 2006, series and class IDs have also been issued to a few closed-end funds (Form N-2 filers) and unit investment trusts that are not used to fund separate accounts (S-6 filers).
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1,623 views
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Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009
Fails-to-Deliver Data under 10,000 Shares between September 16, 2008 and July 1, 2009
Banking, Finance, and Insurance
stocks, SEC, short sales, CUSIP, fails, ...
This file contains the date, CUSIP numbers, ticker symbols, issuer name, price, and total number of fails-to-deliver (i.e., the balance level outstanding) recorded in the National Securities Clearing Corporation's ("NSCC") Continuous Net Settlement (CNS) system aggregated over all NSCC members for securities with a balance of total fails-to-deliver of under 10,000 shares between September 16, 2008 and June 30, 2009. Prior to January 21, 2010, this data was not available. The data include fails-to-deliver in equity securities. The values of total fails-to-deliver shares represent the aggregate net balance of shares that failed to be delivered as of a particular settlement date. Fails to deliver on a given day are a cumulative number of all fails outstanding until that day, plus new fails that occur that day, less fails that settle that day. The figure is not a daily amount of fails, but a combined figure that includes both new fails on the reporting day as well as existing fails. In other words, these numbers reflect aggregate fails as of a specific point in time, and may have little or no relationship to yesterday's aggregate fails. Thus, it is important to note that the age of fails cannot be determined by looking at these numbers. In addition, the underlying source(s) of the fails-to-deliver shares is not necessarily the same as the underlying source(s) of the fails-to-deliver shares reported the day prior or the day after.
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1,244 views
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4.
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2010 SEC Ligitation Releases
2010 SEC Ligitation Releases
Business Enterprise
SEC, litigation release, litigation, ...
The litigation releases concerning civil lawsuits brought by the SEC in federal court in 2010.
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398 views
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5.
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2009 SEC Litigation Release
2009 SEC Litigation Release
Business Enterprise
SEC, community.law, litigation release, litigation, ...
The litigation releases concerning civil lawsuits brought by the SEC in federal court in 2009.
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372 views
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6.
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2009 Administrative Law Judge Initial Decisions
2009 Administrative Law Judge Initial Decisions
Business Enterprise
enforcement, securities, SEC, community.law, ALJ, ...
The initial decisions issued by administrative law judges in 2009 that contains findings of fact, legal conclusions, and an order that often contains a sanction. These initial decisions follow hearings on allegations of securities law violations initiated in most cases by the Commission's Division of Enforcement.
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330 views
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7.
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2010 SEC Opinions and Adjudicatory Orders
2010 SEC Opinions and Adjudicatory Orders
Business Enterprise
enforcement, order, SEC, ALJ, ...
The opinions and orders issued by the Commission in 2010 adjudicating either appeals from initial ALJ decisions or disciplinary or adverse action taken by self-regulatory organizations (such as FINRA) or motions in connection with these proceedings.
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303 views
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8.
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2009 SEC Administrative Proceedings
2009 SEC Administrative Proceedings
Business Enterprise
SEC, orders, settlement, notices, ...
The notices and orders concerning the institution and/or settlement of administrative proceedings issued by the Securities and Exchange Commission in 2009.
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301 views
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9.
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Copy of 2009 SEC Administrative Proceedings
Copy of 2009 SEC Administrative Proceedings
Business Enterprise
SEC, orders, settlement, notices, ...
The notices and orders concerning the institution and/or settlement of administrative proceedings issued by the Securities and Exchange Commission in 2009.
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267 views
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