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Section 19 of the FAIS Act states that financial statements must be submitted to the Registrar by authorised financial service providers not later than four months after the end of the providers financial year.
Do all companies have to file financial statements with the SEC?
Public companies, often referred to as reporting companies, are subject to reporting requirements and must file certain reports, including annual, quarterly, and current reports, with the SEC on an ongoing basis.
How do you fill out a cover sheet for SEC?
The SEC Cover Sheet is an electronic form that can be completed online. To complete the form, you will need to enter information about the filing, such as the name of the filer, the filing type, the form number, and the date of filing. Once all the information is entered, click the Submit button to submit the filing.
What are the financial reporting requirements for the SEC?
SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.
What are the main SEC filings?
Registration statements are required when a company initially sells shares to the public. Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13D, Form 144, and Foreign Investment Disclosures.
The annual reports of brokers and dealers whose fiscal year ended on December 31 must be filed on April 30, while those with fiscal years ending on a date other than December 31 shall file their reports 110 calendar days after the close of their respective fiscal year.
When must financial statements be issued?
There are four main financial reports also called financial statements used to communicate your financial data. These financial statements are often issued quarterly and annually. Many companies issue monthly statements as well during month-end closing for internal analysis.
What is the SEC filing form for IPO?
An S-1 Form is the initial registration that is filed with the SEC when a company first goes public, generally before the initial public offering, or IPO. You may sometimes hear this form referred to as the registration form, since it registers the company with the SEC.
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