Large Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Quarterly Form 13F Notice Report filed by institutional managers (and amendment thereto) Initial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto) Quarterly report pursuant to section 13 and 15(d) (and amendment thereto)Īnnual report of employee stock purchase, savings and similar plans (and amendment thereto) Transition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto) Periodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 (and amendment thereto)Īnnual report pursuant to section 13 and 15(d) (and amendment thereto) Initial general form for registration of a class of securities pursuant to section 12(g) (and amendment thereto) Initial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto) Sales material filed pursuant to Rule 609 under Regulation E. Sales material filed pursuant to Rule 607 under Regulation E. Notification under Regulation E by small business investment companies and business development companies (and amendment thereto) The filings accepted by the SEC as of November 2011. Other filings are required with respect to offerings by private companies. Initial statement of beneficial ownership (Insider transactions) Registration statement for certain foreign private issuersĪn exempt offering of securities under Regulation D This narrative is also accompanied by management's expectations for the upcoming year. While the MD&A contains a narrative about the financial results of the company. The Risk Factors contain a list of all of the potential risks that exist for the company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. The business section provides an overview of the Company. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The most commonly filed SEC forms are the 10-K and the 10-Q. Many, but not all SEC filings are available online through the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Securities and Exchange Commission (SEC). The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC) logo
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