Securities

Home » Securities
What is a Proxy?

What is a Proxy?

A corporation’s day-to-day operations are managed by the board of directors through their designees, the officers of the company. While the officers perform a significant amount of the day-to-day work, the directors provide advice concerning big-picture decisions....

read more
What is a 10-Q?

What is a 10-Q?

A 10-Q is a report that publicly traded companies are required to file with the Securities and Exchange Commission on a quarterly basis. Similar to a 10-K but based on reviewed, not audited numbers and financials, this report provides insight to investors and...

read more
Do I Need to File an 8-K?

Do I Need to File an 8-K?

If you are wondering, “do I need to file an 8-K?” the answer is most likely “yes.” When in doubt, file an 8-K. An 8-K is used for current reports under Section 13 or 15(d) of the Securities Exchange Act of 1934, and is filed in accordance with 17 CFR § 240.13a-11 or...

read more
What are SEC Filings?

What are SEC Filings?

The Securities and Exchange Commission (SEC) requires public companies and broker-dealers to periodically file financial statements and various other disclosures. These regulatory documents are meant to provide information to investors, analysts, and regulators. These...

read more
How to Transfer Shares of a Public Company

How to Transfer Shares of a Public Company

After you purchase shares of a public company, you might sell or transfer them at some point. Transferring shares is covered by Section 4 of the Securities Act of 1933. This statute provides two exemptions from registering with the Securities and Exchange Commission...

read more