News and Events from the Fort Worth Regional Office

The Fort Worth Regional Office posts news and events happening in its jurisdiction. You may sign up to receive email updates.

Date Title
Availability of SEC Online Comment Form Option from May 30 until June 26, 2024
Regulation Best Interest, Form CRS and Related Interpretations
SEC Social Media Disclaimer
Implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act
Special Purpose Acquisition Companies, Shell Companies, and Projections
Enhancements to SEC.gov
Developer Resources
Q&A with SEC’s Asian American and Pacific Islander Committee Co-Chair
Path to Public Service: Fireside Chat With U.S. Attorney Ryan Buchanan
Boston Regional Office Investor Outreach
Whistleblower Protections
Jumpstart Our Business Startups (JOBS) Act
Exempt Offerings
General Solicitation
Payment Options
Starting a Private Fund
Accredited Investors
Ready to Raise CAPITAL
Private Placements - Rule 506(b)
Filing a Form D Notice
Intrastate Offerings
Employee Benefit Plans – Rule 701
Building Blocks
Relationship Summary Filing Workflow on IARD & Web CRD
Fighting COVID-19-Related Financial Fraud
Equity Market Structure Advisory Committee
Tick Size Pilot Program
SEC Chair Gary Gensler Launches “Office Hours” Video Series
Fixed Income Market Structure Advisory Committee Members
Asset Management Advisory Committee Members
The SEC Celebrated Its 90th In Style
Staff Accounting Bulletins
Administrative Law Judge Orders and Initial Decisions
Commission Orders and Notices
FinHub Announces New Peer-to-Peer Meet-ups
Comment on SEC Rulemaking
Other Substituted Compliance Orders and Staff Statements
Securities Topics
Substituted Compliance Notices
Investor Advisory Committee Members Biographies
Investor Advisory Committee Members Full Biographies
XBRL Glossary of Terms
News from the Los Angeles Regional Office
Fixed Income Market Structure Advisory Committee (FIMSAC)
Investor Advisory Committee
Staff Guidance
No Action, Interpretive and Exemptive Letters
Tips and Complaints Resources
Semiannual Management Report (May 2024)
Sunshine Act Notice
Website Links
Trial Exhibits in SEC v. Terraform
Internet Adviser Registration Reforms
SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors
Fiscal Year 2025 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2023 Annual Performance Report
Chief FOIA Officer Report 2024
Advisory Committees
2023 Annual Staff Report Relating to the Use of Form PF Data
Staff Legal Bulletins
Federal Employee Viewpoint Survey 2023
Small Business Capital Formation Advisory Committee
Cooperative Arrangements with U.S. Regulators
SECGov X Account
SPACs, Shell Companies, and Projections
Issuer Delisting; Notice of Application of Vitran Corporation Inc. to Withdraw its Common Stock, no par value, from Listing and Registration on the American Stock Exchange LLC
Issuer Delisting; Order Granting the Application of TurboChef Technologies Inc. to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the American Stock Exchange LLC File No. 1-32334
Issuer Delisting; Notice of Application of Perficient, Inc. to Withdraw its Common Stock, $.001 par value, from Listing and Registration on the Boston Stock Exchange, Inc.
Issuer Delisting; Order Granting the Application of Centrue Financial Corporation to Withdraw its Common Stock, $.01 par value, and Preferred Share Purchase Rights, from Listing and Registration on the American Stock Exchange LLC File No. 1-15025
Issuer Delisting; Notice of Application of Dynamex Inc. to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the American Stock Exchange LLC
Issuer Delisting; Order Granting the Application of IVAX Diagnostics, Inc. to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the Boston Stock Exchange, Inc. File No. 1-14798
Issuer Delisting; Boston Stock Exchange, Inc.; Order Granting the Application of Top Image Systems Ltd. to Withdraw its Ordinary Shares, .04 NIS par value, from Listing and Registration File No. 1-14552
Issuer Delisting
Issuer Delisting; Notice of Application
Issuer Delisting; Notice of Application of Valhi, Inc. to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the Pacific Exchange, Inc. File No. 1-13905
Issuer Delisting; Order Granting the Application of Brooke Corporation to Withdraw its Common Stock, $.01 par value, from Listing and Registration on the American Stock Exchange LLC File No. 1-13698
Issuer Delisting; Order Granting the Application of Renasant Corporation to Withdraw its Common Stock, $5.00 par value, from Listing and Registration on the American Stock Exchange LLC File No. 1-13253
Self-Regulatory Organizations; Order Granting Application to Strike from Listing and Registration on the New York Stock Exchange, Inc. (Tower Automotive, Inc., Common Stock, $.01 par value) File No. 1-12733
Issuer Delisting; Notice of Application of Corrpro Companies, Inc. to Withdraw its Common Stock, no par value, from Listing and Registration on the American Stock Exchange LLC File No. 1-12282
Issuer Delisting; Order Granting the Application of Pioneer Railcorp to Withdraw its Class A Common Stock, $.001 par value, from Listing and Registration on the Chicago Stock Exchange, Inc. File No. 1-12072
Issuer Delisting; Notice of Application of DynTek, Inc. to Withdraw its Common Stock, $.0001 par value, and Series A Convertible Preferred Stock and Warrants, from Listing and Registration on the Boston Stock Exchange, Inc.
Issuer Delisting; Notice of Application of The Zweig Total Return Fund, Inc. to Withdraw its Common Stock, $.001 par value, from Listing and Registration on the Pacific Exchange, Inc. File No. 1-10016
Self-Regulatory Organizations; Order Granting Application to Strike from Listing and Registration on the American Stock Exchange LLC (Magic Lantern Group, Inc., Common Stock, $.01 par value) File No. 1-09738
Issuer Delisting; Notice of Application of The Zweig Fund, Inc. to Withdraw its Common Stock, $.10 par value, from Listing and Registration on the Pacific Exchange, Inc. File No. 1-09258
Self-Regulatory Organizations; Order Granting Application to Strike From Listing and Registration on the New York Stock Exchange, Inc. (MSC.Software Corporation, Common Stock, $.01 par value) File No. 1-08722
Issuer Delisting; Order Granting the Application of Fab Industries, Inc. to Withdraw its Common Stock, $.20 par value, from Listing and Registration on the American Stock Exchange LLC File No. 1-05901
Issuer Delisting; Notice of Application of Earl Scheib, Inc. to Withdraw its Capital Stock, $1.00 par value, from Listing and Registration on the American Stock Exchange LLC
Issuer Delisting; Order Granting the Application of Avnet, Inc. to Withdraw its Common Stock, $1.00 par value, from Listing and Registration on the Pacific Exchange, Inc. File No. 1-04224
Issuer Delisting; Order Granting of Application of Sears Roebuck Acceptance Corp. to Withdraw its 7% notes (due 2042), 7.4% notes (due 2043), and 6.75% notes (due September 2005), from Listing and Registration on the New York Stock Exchange, Inc.
Issuer Delisting; Order Granting the Application of Canada Southern Petroleum Ltd. to Withdraw its Common Stock, no par value, from Listing and Registration on the Boston Stock Exchange, Inc. File No. 1-03793
Issuer Delisting; Notice of Application of General Dynamics Corporation to Withdraw its Common Stock, $1.00 par value, from Listing and Registration on the Chicago Stock Exchange, Inc. File No. 1-03671
Self-Regulatory Organizations; Order Granting Application to Strike from Listing and Registration on the New York Stock Exchange, Inc. (Winn-Dixie Stores, Inc., Common Stock, $1.00 par value) File No. 1-03657
Issuer Delisting; Order Granting Application of Equitable Resources, Inc. to Withdraw its Common Stock, no par value, from Listing and Registration on the Philadelphia Stock Exchange, Inc. File No. 1-03551
Issuer Delisting; Order Granting the Application of CSX Transportation, Inc. to Withdraw its Monon Railroad 6% Income Debentures (due January 1, 2007), from Listing and Registration on the New York Stock Exchange, Inc. File No. 1-03359
Issuer Delisting; Order Granting the Application of Kimberly-Clark Corporation to Withdraw its Common Stock, $1.25 par value, per share, from Listing and Registration on the Pacific Exchange, Inc. File No. 1-00225
Regional Offices
Improving Risk Management and Increasing Clearing in U.S. Treasuries
The SEC is on Instagram!
Annual report pursuant to Section 13 or 15(d)
World Investor Week 2023 Highlights
Sunshine Act Notice
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