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Related topics. v. t. e. The U.S. Securities and Exchange Commission ( SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. [2] [3] [4] The primary purpose of the SEC is to enforce the law against market manipulation. [5] [6] : 2. In addition to the Securities Exchange ...
Form S-1. Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering.
Registered investment adviser. A registered investment adviser ( RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
In a company's history, Regulation S-K first applies with the Form S-1 that companies use to register their securities with the U.S. Securities and Exchange Commission (SEC) as the " registration statement under the Securities Act of 1933 ". Thereafter, Regulation S-K applies to the ongoing reporting requirements in documents such as forms 10-K ...
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.
In the United States, a registration statement is a set of documents, including a prospectus, which a company must file with the U.S. Securities and Exchange Commission before it proceeds with a public offering. As of May 2022, the United States Supreme Court was considering the case of Slack Technologies, LLC v.
The Offering of these Additional Notes was made pursuant to an effective shelf registration statement on Form S-3, which was initially filed with the Securities and Exchange Commission (the “SEC”) on May 10, 2024 and declared effective by the SEC on May 21, 2024. The Offering was made only by means of a prospectus and prospectus supplement.