SEC Form 10 is a regulatory filing that must be submitted by companies who wish to go public in the United States. The form must be filed with the Securities and Exchange Commission (SEC) and contains information about the company's business, financial condition, and management.
What was the SEC during the Great Depression? The SEC was established in 1934 by the US Congress in response to the stock market crash of 1929 and the resulting Great Depression. The agency's mandate was to regulate the securities industry and protect investors from fraudulent and manipulative practices.
During the Great Depression, the SEC was instrumental in uncovering and prosecuting a number of high-profile cases of corporate fraud and corruption, including the Ponzi scheme of Charles Ponzi and the insider trading scandal of Richard Whitney. The SEC also played a key role in the development of new rules and regulations governing the securities industry, such as the establishment of the Securities Act of 1933 and the Securities Exchange Act of 1934.
In the years following the Great Depression, the SEC continued to be a major force in regulating the securities industry and protecting investors. Today, the agency is widely considered to be one of the most important financial regulators in the world.
Whats does SEC mean?
The SEC is the US Securities and Exchange Commission, a federal government agency that is responsible for regulating the securities industry. The SEC's mission is to protect investors, maintain fair and orderly markets, and promote capital formation. What is the purpose of a Form 10? A Form 10 is a filing with the Securities and Exchange Commission (SEC) that is required when a company wants to register a new class of securities. The Form 10 includes information about the company's business, financial condition, and the offering of the new securities.
What is the purpose of a 10-K report filed with the Securities and Exchange Commission quizlet?
A 10-K report is an annual report required by the U.S. Securities and Exchange Commission (SEC), that provides a comprehensive overview of a company's financial performance. The report includes information on a company's revenue, expenses, assets, liabilities, and equity. It also provides information on a company's management, Board of Directors, and corporate governance. When Form 10 is required to be filed? Form 10 is required to be filed with the Securities and Exchange Commission (SEC) when a company files for an initial public offering (IPO).