What is the meaning of SEC filing?
What Are SEC Filings? SEC Filings are regulatory documents that companies and issuers of securities must submit to the Securities and Exchange Commission (SEC) on a regular basis. The purpose is to provide transparency and information to investors, analysts, and regulators.
What SEC filings are required?
SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.
What is the SEC and what does it do?
The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it's starting a family, sending kids to college, saving for retirement or attaining other financial goals.
What are filings?
Filings are very small pieces of a substance, especially a metal, that are produced when it is filed or cut.
[PDF] Form 10-K - SECgov
Form 10-K - SEC gov www sec gov/files/form10-k pdf securities is required to be stated and the filing of the report The definitions contained in Rule 12b-2 should be especially noted
[PDF] FORM S-1 SECgov
FORM S-1 SEC gov www sec gov/files/forms-1 pdf See the definitions of “large accelerated filer” “accelerated filer” “smaller the time of filing (or confidential submission) of the registration
[PDF] SEC Forms A Quick Reference Guide - Intelligize
SEC Forms A Quick Reference Guide - Intelligize www intelligize com/wp-content/uploads/2017/09/intelligize_sec_forms_guide pdf Form D — Filing with the Securities and Exchange Commission (SEC) required 4 — Instruments defining the rights of security holders including indentures
[PDF] SEC Filings Data on WRDS
SEC Filings Data on WRDS wrds-www wharton upenn edu/documents/1439/WRDS_SEC_Suite_PowerPoint_for_Video_Learning pdf SEC filings are great resources for research 1 WRDS SEC Analytics Suite: Filings and Metadata and on Harvard GI dictionary
[PDF] 2021 SEC Filings Deadline Calendar - Gibson Dunn
2021 SEC Filings Deadline Calendar - Gibson Dunn www gibsondunn com/wp-content/uploads/2020/11/SEC-Filing-Deadline-Calendar-2021 pdf The calendar below reflects SEC filing deadlines for companies with a fiscal year from the definition of Large Accelerated Filer and Accelerated Filer
[PDF] SEC Filings Regulatory Deadlines and Capital Market
SEC Filings Regulatory Deadlines and Capital Market faculty haas berkeley edu/yaniv/files/Papers_Publications/SEC-Filings-Regulatory-Deadlines-Capital-Market-Consequences_Bartov-Konchitchki_AH pdf Keywords: asset pricing; accounting problems; SEC filings; financial statements; and hence the definition of a firm's public float (e g Iliev 2010)
[PDF] FOREIGN PRIVATE ISSUER GUIDE - Squire Patton Boggs
FOREIGN PRIVATE ISSUER GUIDE - Squire Patton Boggs www squirepattonboggs com/-/media/files/insights/publications/2017/06/foreign-private-issuer-guide/fpi_guide_2017 pdf occur between periodic filings must generally be reported to the SEC in a current If any instrument defining the rights to the holders of any class of
[PDF] AU-C section 925 - AICPA
AU-C section 925 - AICPA us aicpa org/content/dam/aicpa/research/standards/auditattest/downloadabledocuments/au-c-00925 pdf Effective for filings under the Securities Act of 1933 that include au- A6 The SEC does not require an entity to include an auditor's review re-