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  2. Form 13F - Wikipedia

    en.wikipedia.org/wiki/Form_13F

    Form 13F is required to be filed within 45 days of the end of a calendar quarter, or if that day falls on a Saturday, Sunday or holiday, the deadline is the next business day. So, for example, for positions held as of the end of December, Form 13F must be filed by February 14 (if it is not a Saturday, Sunday, or holiday).

  3. Understanding SEC Form 13F - AOL

    www.aol.com/understanding-sec-form-13f-151632837...

    The Securities and Exchange Commission oversees and regulations certain entities that provide financial and investment advice or management services. As part of those regulations, the SEC requires ...

  4. 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.

  5. Schedule 13G - Wikipedia

    en.wikipedia.org/wiki/Schedule_13g

    Schedule 13G is an alternative SEC filing for the Schedule 13D which can be filed in lieu of Schedule 13D by anyone who acquires more than 5% ownership of a Section 13 security and qualifies for one of the exemptions available to the Schedule 13D filing requirement.

  6. Securities Exchange Act of 1934 - Wikipedia

    en.wikipedia.org/wiki/Securities_Exchange_Act_of...

    The Securities Exchange Act of 1934 (also called the Exchange Act, '34 Act, or 1934 Act) (Pub. L. 73–291, 48 Stat. 881, enacted June 6, 1934, codified at 15 U.S.C. § 78a et seq.) is a law governing the secondary trading of securities (stocks, bonds, and debentures) in the United States of America. [1]

  7. Form 10-K - Wikipedia

    en.wikipedia.org/wiki/Form_10-K

    A Form 10-K is an annual report required by the U.S. Securities and Exchange Commission (SEC), that gives a comprehensive summary of a company's financial performance. . Although similarly named, the annual report on Form 10-K is distinct from the often glossy "annual report to shareholders", which a company must send to its shareholders when it holds an annual meeting to elect directors ...

  8. Investor Protection and Securities Reform Act of 2010

    en.wikipedia.org/wiki/Investor_Protection_and...

    Subtitle A contains provisions: To prevent regulatory capture within the SEC and increase the influence of investors, the Act creates an Office of the Investor Advocate, [2] an Investor Advisory Committee composed of 12-22 members of whom serve 4-year terms, [3] and an ombudsman appointed by the Office of the Investor Advocate. [4]

  9. Form 20-F - Wikipedia

    en.wikipedia.org/wiki/Form_20-F

    Form 20-F is an SEC filing submitted to the US Securities and Exchange Commission used by certain foreign private issuers to provide information. [1] The form is used by companies where 50% or less of the total amount of voting shares are held by American Citizens, but its shares can be traded on an American Exchange. [2]

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