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Form 13F is a quarterly report filed, per United States Securities and Exchange Commission regulations, [1] by "institutional investment managers" with control over $100M in assets to the SEC, listing all equity assets under management. [2] Academic researchers make these reports freely available as structured datasets. [3]
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 ...
Sales material filed pursuant to Rule 607 under Regulation E. (and amendment thereto) 2-E, 2-E/A Sales material filed pursuant to Rule 609 under Regulation E. (and amendment thereto) 10-12B, 10-12B/A Initial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto) 10-12G, 10-12G/A
Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers (issuing or contemplating issuing shares), filers (entities that must file reports with the SEC) or registrants (entities that must register (usually shares) with the SEC).
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.
The origins of the CUSIP system go back to 1964, when the financial markets were dealing with what was known as the securities settlement paper crunch on Wall Street. [5] [6] [7] At that time, increased trading volumes of equity securities, which were settled by the exchange of paper stock certificates, caused a backlog in clearing and settlement activities.
The parent company–subsidiary company relationship is defined by Part 1.2, Division 6, Section 46 of the Corporations Act 2001, which states: [6] A body corporate (in this section called the first body) is a subsidiary of another body corporate if, and only if: (a) the other body: (i) controls the composition of the first body's board; or
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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