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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.
To find a particular company's Form 10-K filings, use the Company Search for the SEC's EDGAR database. On the returned listing of filings for the company, enter \u201c10-K\u201d in the Filing Type box near the top of the page to filter for only Forms 10-K that have been filed.
An investment adviser firm only needs to deliver once per year no later than 120 days after the investment adviser firm's fiscal year-end either (1) the current Form ADV Part 2A brochure with material changes made within the prior one-year period or (2) a summary of material changes made within the prior one-year ...
Filing Form ADV is mandatory for advisers who are required to register with the SEC and for exempt reporting advisers. The SEC maintains the information submitted on this form and makes it publicly available. The SEC may return forms that do not include required information.
Export a single filing table Look up your filing through the SEC filing search or the list of filings on each company page. Click the 'Notable SEC filings ...' if you're looking for filings other than 10-K, 10-Q, and 8-K. Find the table you would like to export. Click the XLSX button. Your table is downloaded.
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Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United States Small Business Administration, to register under the Investment Company Act and to offer their shares under the Securities Act.
Form S-2 was a filing required by the Securities and Exchange Commission that served as a simplified registration for the offering of new securities. An SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC).
From respective application select the File menu \u2013> Print \u2013 this not the same as the "Save to PDF" option 2. Select "Adobe PDF" as the printer 3. You will be prompted to save the file 4.
SEC Filing Fees SEC does not maintain a list of filing fees, per se; most fees are calculated. The fee is $116.20 per $1,000,000 (prorated for amounts less than $1,000,000). It is calculated by multiplying the aggregate offering amount by . 0001162.
Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes.

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