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INTERSTATES SECURITIES AND EXCHANGECOMMIS Washington, D.C. 20549IIIIIIilllllllllllllll ll III 16022500 Section TEC 28 2016 7!9r FACING PAGE SEC FILE NUMB818333WashingtonCInformation Required of Brokers

How to fill out securities and exchangecommis

How to fill out securities and exchange commission (SEC) forms:

1. Start by obtaining the necessary forms from the SEC website or a local SEC office.
2. Read the instructions carefully to understand the requirements and any supporting documentation needed.
3. Begin filling out the form by providing your personal information, such as name, address, and contact details.
4. If applicable, indicate the type of entity you represent (individual, corporation, partnership, etc.) and provide the relevant details.
5. Include any additional information or disclosures required by the specific form you are filling out.
6. If there are sections or questions that you are unsure about, seek guidance from an attorney or consultant familiar with SEC filings.
7. Review the completed form for accuracy and ensure that all required fields are filled in.
8. Sign and date the form, and keep a copy for your records before submitting it to the SEC.

Who needs securities and exchange commission (SEC) filings:

1. Publicly traded companies: Any company listed on a stock exchange or actively trading securities is required to file regular reports and disclosures with the SEC.
2. Registered investment advisors: Individuals or firms providing investment advice for a fee are generally required to register with the SEC and provide periodic updates on their activities.
3. Mutual funds and ETFs: Investment funds that sell shares to the public must file registration documents and periodic reports with the SEC.
4. Broker-dealers and securities professionals: Individuals or entities engaged in the buying and selling of securities, including brokers, dealers, and investment bankers, must comply with SEC regulations and file certain reports.
5. Crowdfunding platforms: Online platforms that facilitate the sale of securities through crowdfunding efforts must register with the SEC and file necessary documentation.
6. Whistleblowers: Individuals who have information regarding securities violations or fraud can report to the SEC and potentially qualify for financial rewards.

Remember, the specific requirements for SEC filings can differ depending on the type of entity and the purpose of the filing. It is always advisable to consult legal and financial professionals to ensure compliance with SEC regulations.

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