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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).
Form 10-K405 is an SEC filing to the US Securities and Exchange Commission (SEC) that indicates that an officer or director of a public company failed to file a Form 4 (or related Form 3 or Form 5) on time, in violation of Section 16 - meaning that they did not disclose their insider trading activities within the required time period.
The California Code of Regulations (CCR, Cal. Code Regs.) is the codification of the general and permanent rules and regulations (sometimes called administrative law) announced in the California Regulatory Notice Register by California state agencies under authority from primary legislation in the California Codes.
The Schedule K-1 Tax Form Explained - File IRS tax form Schedule K-1 to report your income from "Pass-through entities," such as S corporations, estates, and LLCs. Learn more about when and how to ...
Form 8-K covers special material events that occur between 10-K and 10-Q filings. A substantial number of firms filed their 10-K as a Form 10-K405 during the late 1990s and early 2000s (decade). A 10-K405 is a 10-K where the Regulation S-K Item 405 box on the cover page is checked. Due to confusion in its application, the 10-K405 was eliminated ...
A new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4 S-6 Initial registration statement filed on Form S-6 for unit investment trusts S-6/A Initial registration statement filed on Form S-6 for unit investment trusts (Amendment) S-8
The Investor Protections and Improvements to the Regulation of Securities is a United States Act of Congress, which forms Title IX, sections 901 to 991 of the much broader and larger Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [1]
Perhaps the most prominent ingredient on California’s banned list is red dye No. 3. It is allowed only in candied and cocktail cherries in the European Union but is widely used in the U.S.