What Is SEC Form 13F? SEC form 13F refers to a quarterly financial report that institutional investment managers must file with the Securities and Exchange Commission when their assets under management are $100 million or more during any of the months in the filing quarter. Hence, the SEC can...
An SEC filing is a type of formal document that is submitted to the SEC. The contents of an SEC filing generally include...
A. Form 10 registration statements become effective sixty days after the initial filing date regardless of whether there are outstanding SEC comments. Q. What happens upon effectiveness of a company’sForm 10registration statement? A. Upon effectiveness of aForm 10registration statement, the issuer b...
Types of SEC filings There are various types of SEC filings, depending on the size, business activities, and regulatory requirements of the company. Some of the most common types of SEC filings include: Form 10-K: An annual report that showcases a comprehensive overview of a company's fi...
Form S-1/A is used for filing amendments to a previously filed Form S-1. Foreign companies may register with the SEC but their filing agent would use the SEC Form F-1 instead. For support and additional information, explore ourCapital Markets Transactions solutions. ...
Alternatives to Form 10-K AForm 10-Qfiling is a briefer version of its Form 10-K filing. The Form 10-Q report is filed at the end of each business quarter with the SEC. It is also available to investors through a company's website and EDGAR....
In a blog posted on April 30, 2024, Cooley discusses the SEC Form N-PX new rule requirements for 13F filers, beginning on July 1, 2024.
SEC Form 10-QT is typically filed subsequent to aForm 8-Kfiling notifying the securities and exchange commission (SEC) of a change of afiscal year end. It must conform in all other respects to the requirements of a form 10-Q except for the time periods presented. If the information provi...
Form S-8 refers to a filing that allows public companies to register securities it offers as part of an employee benefit plan. The filing is required by the Securities and Exchange Commission under the Securities Exchange Act of 1933.
Securities and Exchange Commission to be filed in the mandated form 8-K by publicly-held companies. Entry into a material agreement; Termination of a material agreement; Termination of a business relationship with a customer; Creation of a direct or contingent financial obligation; Events triggering...