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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.
On June 5, 2023, the SEC filed 13 charges against Binance entities and its founder Changpeng Zhao, citing allegations of mishandling customer funds and operating without proper registration. [ 59 ] [ 60 ] The following day, the SEC charged Coinbase for operating as an unregistered securities exchange, broker, and clearing agency, further ...
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
In July 2005 the SEC put "automatic registration" shelf filings in place. This filing is a relaxed registration process that applies to well-known, seasoned issuers (WKSI, pronounced "wiksy"), and covers debt securities, common stock, preferred stock and warrants, among other various instruments.
Certificate for a share in Kennet and Avon Canal Navigation, Great Britain, 1808. In corporate law, a stock certificate (also known as certificate of stock or share certificate) is a legal document that certifies the legal interest (a bundle of several legal rights) of ownership of a specific number of shares (or, under Article 8 of the Uniform Commercial Code in the United States, a ...
Vehicle History service (in English) [159] (searchable by entering combination of vehicle registration number, date of first registration of the vehicle, and VIN number) Office of Rail Transport (UTK) – National Rail Vehicle Registry (in Polish) [160] (non-searchable);
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EDGAR (Electronic Data Gathering, Analysis, and Retrieval) is an internal database system operated by the U.S. Securities and Exchange Commission (SEC) that performs automated collection, validation, indexing, and accepted forwarding of submissions by companies and others who are required by law to file forms with the SEC. The database contains ...