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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549-3628 DIVISION OF CORPORATION FINANCE December 1, 2011, Via E-Mail Kenneth Henderson, Esq. Bryan Cave LLP 1290 Avenue of the
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The Securities and Exchange Commission (SEC) is a regulatory agency created by the federal government of the United States to enforce securities laws, protect investors, and maintain fair and orderly markets.
Publicly traded companies, investment advisers, certain investment companies, broker-dealers, and other market participants are required to file with the Securities and Exchange Commission (SEC) in accordance with the applicable securities laws and regulations.
To fill out the necessary documents for filing with the Securities and Exchange Commission (SEC), companies and market participants must carefully review the specific reporting requirements and forms outlined by the SEC. They can then submit the required information electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
The purpose of the Securities and Exchange Commission (SEC) is to protect investors, maintain fair and efficient markets, and facilitate capital formation. The SEC enforces federal securities laws, regulates the securities industry, and provides oversight of key market participants.
The specific information that must be reported to the Securities and Exchange Commission (SEC) depends on the type of filing and the applicable regulations. Generally, companies and market participants are required to disclose financial statements, executive compensation, ownership structures, material events, and other relevant information affecting their securities.
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