FAR SEC Reporting requirement Flashcards
1
Q
What are the different reports filed with the SEC
A
10K - Annual report
10Q - Quarterly report
8K - Report filed to report major corporate events such as corporate asset acquisitions/disposals, changes in accountants, etc
S-1 - report used to register securities with SEC
20F - Foreign Companies
40F -Canadian Companies
6K - Semi-annual for foreign
11K - Pension plan, stock purchase, benefit plan
Forms 3,4 & 5 Filed by directors, officers, or beneficial owners of more than 10% of equity
