What makes something an enforcement matter? What does it mean when a company is cease-traded? Not all decisions and orders of the ASC mean the same thing, but we can help you understand the differences.
In this section you will find notices, decisions, orders and rulings that relate to:
- enforcement matters including alleged and proved capital-market misconduct and related appeals;
- issuer matters including disclosure filing deficiencies, exemptions for issuers and take-over bids; and
- registrant matters including exemptions for applicants, exchange and self-regulatory organization issues and registration issues.