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...
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...
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...
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...
Predatory lending in all of its myriad of forms has been around since the concept of lending first arose. Call it payday loans. Call it “going to the corner” to borrow from a person with the middle name “the” in the securities world, that toxic lenders...
Protecting the consumer from securities fraud is a key focus of the Securities and Exchange Commission on the federal level. There are agencies and numerous federal laws in place to help ensure the public is protected. Besides federal laws, there are also many state...
