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The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings.
Pages in category "SEC filings" The following 26 pages are in this category, out of 26 total. This list may not reflect recent changes. * SEC filing; F. Form 3; Form 4;
Third-party filings with respect to these companies, such as tender offers and Schedule 13D filings, are also filed via EDGAR. The vast majority of documents are now filed electronically, with over 3,000 filings per day. [when?] On November 4, 2002, the SEC required all foreign companies and foreign governments to file their documents via EDGAR ...
The SEC announced on September 17, 2008, strict new rules to prohibit all forms of "naked short selling" as a measure to reduce volatility in turbulent markets. [32] [33] The SEC investigated cases involving individuals attempting to manipulate the market by passing false rumors about certain financial institutions.
A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a company's financial performance. . Although similarly named, the annual report on Form 10-K is distinct from the often glossy "annual report to shareholders", which a company must send to its shareholders when it holds an annual meeting to elect directors ...
The SEC will need to approve S-1 forms from the money managers — filings needed to publicly offer new securities — for the actual funds to begin trading. The regulator gave no indication of ...
Unlike the exchange filings, there is no set time frame in which the SEC has to decide on the registration filings, meaning it could still take several months for ether ETFs to begin trading.
A Central Index Key or CIK number is a unique number assigned to an individual, company, filing agent or foreign government by the United States Securities and Exchange Commission. The number is used to identify its filings in several online databases, including EDGAR .