What’s Included in 10-K Filings?

By | 08/10/2023 | 8:38 am ET

When it comes to transparency and regulatory compliance, Form 10-K is a vital component of the annual financial reporting process for publicly traded companies in the U.S. Filed with the Securities and Exchange Commission (SEC), these extensive documents offer a comprehensive overview of a company's annual performance. They present investors, analysts, and the wider market with detailed insights into a firm's financial health, business activities, and risk profile. Below, we…

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What SEC Forms are Required to be a U.S. Public Company?

By | 08/10/2023 | 7:57 am ET

For a company to publicly trade its securities in the United States, it must comply with a myriad of regulatory requirements set forth by the Securities and Exchange Commission (SEC). Among these are the obligations to regularly submit a variety of forms that provide comprehensive insights into the company's operations, financials, and risk factors. These mandatory filings are crucial for maintaining transparency and investor confidence, and non-compliance can result in…

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What Is an SEC Filing Agent and Do I Need One?

By | 08/08/2023 | 2:24 pm ET

Managing regulatory filings for a public company is a task requiring meticulous attention to detail, understanding of regulatory requirements, and timely execution. It involves keeping track of numerous deadlines, forms, and changes in SEC regulations. This is where an SEC filing agent comes in. SEC filing agents are professionals who specialize in assisting public companies with their SEC requirements and financial reporting to the U.S. Securities and Exchange Commission (SEC). They…

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