Search results
Results from the WOW.Com Content Network
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor.
In July 2005 the SEC put "automatic registration" shelf filings in place. This filing is a relaxed registration process that applies to well-known, seasoned issuers (WKSI, pronounced "wiksy"), and covers debt securities, common stock, preferred stock and warrants, among other various instruments.
Discover the latest breaking news in the U.S. and around the world — politics, weather, entertainment, lifestyle, finance, sports and much more.
The story of the SEC and CBS is a winding journey that started as a happy marriage, turned quite rocky and then led to a divorce during renewal negotiations in 2020.
The same online system also accepts tips and complaints from investors to help the SEC track down violators of the securities laws, as well as offering publications on investment-related topics for public education. The SEC maintains a strict policy of refraining from commenting on the existence or status of any ongoing investigation.
President-elect Donald Trump's SEC pick voted several times against punishing big companies and was extremely critical of the agency's enforcement process when he was a top official there ...
The SEC sent him a letter wanting to know why he had not disclosed those purchases within 10 days of crossing the 5% threshold of shares owned, as required by securities law. Musk eventually ...