Examlex
Which of the following is a relevant categorization of stakeholders according to their orientation to the firm?
SEC
The U.S. Securities and Exchange Commission, a federal agency responsible for enforcing federal securities laws and regulating the securities industry, the nation's stock and options exchanges, and other related activities.
Criminal Violations
Criminal violations are actions or conduct that break the law and are punishable by the state, including both misdemeanors and felonies.
Prefiling Period
The timeframe before an official document or lawsuit is formally filed in court.
Issuer
An entity that develops, registers, and issues financial instruments like stocks, bonds, or credit cards for the purpose of financing.
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