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  2. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor.

  3. Florida Department of Business and Professional Regulation

    en.wikipedia.org/wiki/Florida_Department_of...

    The Department of Business and Professional Regulation (DBPR) is the agency charged with licensing and regulating more than 1.6 million businesses and professionals in the State of Florida, such as alcohol, beverage & tobacco, barbers/cosmetologists, condominiums, spas, hotels and restaurants, real estate agents and appraisers, and veterinarians, among many other industries.

  4. Florida Division of Alcoholic Beverages and Tobacco - Wikipedia

    en.wikipedia.org/wiki/Florida_Division_of...

    Each applicant completes a detailed application form with the assistance of the field office staff. The application is reviewed, and if necessary, a detailed background investigation is conducted by the law enforcement bureau. The decision on whether to issue a license is based on a review of the application and information gathered.

  5. Form S-1 - Wikipedia

    en.wikipedia.org/wiki/Form_S-1

    Every business day, S-1 forms are filed with the SEC's EDGAR filing system, the required filing format of the U.S. Securities and Exchange Commission. However many of these are of the related Form S-1/A, which is used for filing amendments to a previously filed Form S-1. The S-1 form has an OMB approval number of 3234-0065 and the online form ...

  6. Regulation S-K - Wikipedia

    en.wikipedia.org/wiki/Regulation_S-K

    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).

  7. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...