Search results
Results from the WOW.Com Content Network
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 ...
These surpluses are invested in special U.S. government securities, which are deposited into the trust funds. If the trust funds begin running deficits, meaning more in benefits are paid out than contributions paid in, the Social Security Administration is empowered to redeem the securities and use those funds to cover the deficit.
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
The Missouri regulations, issued by Ashcroft's office, infringed on the free speech rights of investment professionals and are preempted by federal law, the court ruling said.
Securities in accordance with Rules 504, 505, and 506 (Regulation D) are considered restricted securities. [3] These restricted securities are often acquired by investors through unregistered or private offerings, meaning the securities cannot be resold for a period of time unless registered with the SEC or it qualifies for an exemption.
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.
Structure of a private equity or hedge fund, which shows the carried interest and management fee received by the fund's investment managers. The general partner is the financial entity used to control and manage the fund, while the limited partners are the individual investors who receive their return as capital interest.