Rule as to Use of Form 10. Form 10 shall be used for registration pursuant to Section 12(b) or (g) of the Securities Exchange Act of 1934 of classes of securities of issuers for which no other form is prescribed.

2008年9月30日 · [Securities Act Section 10(a)(3) and Regulation C, Rule 427] The updated financial statements must comply with the requirements of S-X 3-12 (S-X 8-08 for Smaller Reporting Companies).

FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 GENERALINSTRUCTIONS A. Rule as to Use of Form 10-K. (1) This Form shall be used for annual reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) (the “Act”) for which no other form is prescribed.

Application under Section 310(a)(1) of the Trust Indenture Act for determination of eligibility of a foreign person to act as institutional trustee Last Reviewed or Updated: Dec. 10, 2024 Return to top

The SEC’s disclosure forms are available on the SEC’s website at https://www.sec.gov/forms. Contacting the Commission. The SEC’s Division of Corporation Finance is happy to assist small companies and others with questions regarding the amendments.

SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.

2011年7月1日 · The SEC sets the disclosure requirements and the SEC staff reviews 10-Ks to monitor and enhance companies’ compliance with the requirements. Both the SEC and the staff also provide interpretive advice about the disclosure requirements.

Find registration statements, periodic reports, and other forms by typing the name or ticker symbol of a company (CIK lookup info) (confidential treatment orders) (SEC correspondence with issuers)

This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order.

2025年1月16日 · This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.