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Public Companies' Requirements to the US...

Murray, Meghan

Technical Note

Public Companies' Requirements to the US Securities and Exchange Commission

Murray, Meghan

BC-0307 | Published June 26, 2024 | 2 pages Technical Note

Collection: Darden School of Business

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This note provides an overview of the regulatory documents the Securities and Exchange Commission (SEC) requires of public companies in the United States. Specifically, an S-1 filing is required by any security that meets SEC criteria before shares can be listed on a national exchange, and thereafter, the SEC requires Form 10-Q or 10-K quarterly. The note provides details about these three primary communication disclosures, plus links to other resources where students can learn more. It is meant to be a quick reference guide for business or commerce students.