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  1. www.sec.gov › about › formsForm 4 - SEC.gov

    FORM 4. STATEMENT OF CHANGES OF BENEFICIAL OWNERSHIP OF SECURITIES. The Commission is authorized to solicit the information required by this Form pursuant to Sections 16(a) and 23(a) of the Securities Exchange Act of 1934, and Sections 30(h) and 38 of the Investment Company Act of 1940, and the rules and regulations thereunder.

  2. www.sec.gov › files › form4data,0FORM 4 - SEC.gov

    28 paź 2020 · STATEMENT OF CHANGES OF BENEFICIAL OWNERSHIP OF SECURITIES. The Commission is authorized to solicit the information required by this Form pursuant to Sections 16(a) and 23(a) of the Securities Exchange Act of 1934, and Sections 30(h) and 38 of the Investment Company Act of 1940, and the rules and regulations thereunder.

  3. 05 August 2024 Re: Certification Programs, VIVA VOCE Examinations and Continuous Professional Development Programs for Investment Advisors – Directive Issued in Terms of Section 16 (C) of the Securities and Exchange Commission of Sri Lanka Act No. 19 Of 2021.

  4. The Securities and Exchange Commission of Sri Lanka (SEC) in an effort to streamline the licensing and registration process, has reviewed all documents required for the said purpose and made arrangements to simplify the applications, standardize the format of the affidavit and provide details of documents required under each title document to ...

  5. SEC in Brief. The establishment and constitution of the Securities and Exchange Commission of Sri Lanka was initially provided for by the Securities and Exchange Commission Act No. 36 of 1987 (as amended by Act No. 26 of 1991 and Act No. 18 of 2003).

  6. Visitors from Cameroon, Nigeria, Ivory Coast and Ghana who intend to apply for ETA may apply through Sri Lankan Sponsor for their ETA from the Head office of the Department of Immigration & Emigration, Sri Lanka.

  7. The Certificate in Capital Markets (CCM) is the only pre-requisite for capital market practitioners to pave the way to becoming a professionally qualified Registered Investment Adviser (RIA) registered by the Securities and Exchange Commission (SEC) of Sri Lanka and accepted by the industry.