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Each transaction listed on the Form 4 filing has a transaction code: General transaction codes. P – Open market or private purchase of securities; S – Open market or private sale of securities; V – Transaction voluntarily reported earlier than required; Rule 16b-3 transaction codes. A – Grant, award, or other acquisition
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.
There are also extensive regulations under these laws, largely made by the SEC. One of the most famous and often used SEC rules is Rule 10b-5, which prohibits fraud in securities transactions as well as insider trading. Interpretations under rule 10b-5 often deem silence to be fraudulent in certain circumstances.
Download QR code; Print/export Download as PDF; ... Pages in category "SEC filings" ... SEC filing; F. Form 3; Form 4; Form 5; Form 6-K; Form 8-K; Form 10-12B; Form ...
A Central Index Key or CIK number is a unique number assigned to an individual, company, filing agent or foreign government by the United States Securities and Exchange Commission. The number is used to identify its filings in several online databases, including EDGAR.
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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).
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