24-3

Question 1

Reporting co
- a publicly traded co or one w/ total assets > $___ and > ___ shareholders or ___ non-accredited shareholders

Form __ filed annually, includes:

• biz line, assets, risk factors
• mkt for co’s equity securities
• co’s directors, exec officers
• overview of year’s results

Form __ filed end of first 3 qtrs

Form __ filed for significant changes/events affecting share price or financial condition (ex: change in control, accountant, fiscal yr, director resignation)

Answer 1

$10mm
2,000 or 500

10-K
10-Q
8-K