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  2. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    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.

  3. Form 3 - Wikipedia

    en.wikipedia.org/wiki/Form_3

    Form 3 is an SEC filing filed with the US Securities and Exchange Commission to indicate a preliminary insider transaction by an officer, director, or beneficial (10%) owner of the company's securities. These are typically seen after a company IPOs when insiders make their first transactions.

  4. Matter Under Inquiry - Wikipedia

    en.wikipedia.org/wiki/Matter_Under_Inquiry

    The procedures and rules for when and how to open and close MUIs are described in the agency's Enforcement Manual (which was first published in 2008), [5] [6] as well as other SEC memorandum [7] In the 2000s (decade) era, any MUI that was not cancelled, automatically became an 'informal investigation' after a certain period of time.

  5. Offering circular - Wikipedia

    en.wikipedia.org/wiki/Offering_circular

    An offering memorandum (OM) or offering circular (OC) is a type of prospectus (finance) for a bond or other security. [1] Sometimes, this is also referred to as a prospectus, offering memorandum, or short OC. [ 2 ]

  6. Form 10-Q - Wikipedia

    en.wikipedia.org/wiki/Form_10-Q

    Form 10-Q, (also known as a 10-Q or 10Q) is a quarterly report mandated by the United States federal Securities and Exchange Commission, to be filed by publicly traded corporations. Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 , the 10-Q is an SEC filing that must be filed quarterly with the US Securities and Exchange ...

  7. Red herring prospectus - Wikipedia

    en.wikipedia.org/wiki/Red_herring_prospectus

    The SEC can deem the registration "deficient" in which case registration does not become effective until the deficiencies are corrected. The SEC does not approve the securities registered with it, does not pass on the investment merits, nor guarantee the accuracy of the statements within the registration statement or prospectus.

  8. Wells notice - Wikipedia

    en.wikipedia.org/wiki/Wells_notice

    The name "Wells notice" is derived from the Wells Committee of the SEC which proposed this process in 1972. This SEC committee was named after John A. Wells, its chair. [5] The other members of the committee were former SEC Chairmen Manuel F. Cohen and Ralph Demmler. [6] Among the recommendations made by the committee was the following:

  9. Proxy statement - Wikipedia

    en.wikipedia.org/wiki/Proxy_statement

    A proxy statement is a statement required of a firm when soliciting shareholder votes. [1]: 10 This statement is filed in advance of the annual meeting.The firm needs to file a proxy statement, otherwise known as a Form DEF 14A (Definitive Proxy Statement), with the U.S. Securities and Exchange Commission.