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This document is a quarterly report filed by Legg Mason, Inc. with the SEC detailing the company's financial performance and position, including financial statements, operational results, and management
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How to fill out form 10-q - sec
How to fill out FORM 10-Q
01
Begin with the cover page, entering the company name, the quarter end date, and other required identifiers.
02
Complete the financial statements section, including the balance sheet, income statement, and cash flow statement for the quarter.
03
Include the management discussion and analysis (MD&A) section, summarizing performance trends and significant events.
04
Provide disclosures about the company's accounting policies and any changes that occurred during the quarter.
05
Include any additional notes that explain figures in the financial statements or significant changes.
06
Review and ensure all information is accurate and complies with SEC regulations.
07
File the completed FORM 10-Q with the SEC electronically via EDGAR.
Who needs FORM 10-Q?
01
Publicly traded companies in the U.S. are required to file FORM 10-Q with the SEC.
02
Investors and analysts use FORM 10-Q to monitor a company's financial health and performance.
03
Regulators use FORM 10-Q to ensure compliance with securities laws.
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People Also Ask about
What triggers the filing of Form 10?
The SEC requires a company to file SEC Form 10 when it has more than $10 million in total assets and more than 500 shareholders. A company with fewer shareholders or assets may voluntarily make this SEC filing, but it is not required.
What is the difference between a 10-K and a 10-Q?
While 10K reports are due annually and must include audited financial statements, 10Q reports are due quarterly, three times a year, and include unaudited financial statements. 10Q filings provide shareholders and the public an on-going update on a company's performance over the year.
What is the difference between a Form 10-K and a Form 10-Q?
While 10K reports are due annually and must include audited financial statements, 10Q reports are due quarterly, three times a year, and include unaudited financial statements. 10Q filings provide shareholders and the public an on-going update on a company's performance over the year.
Is Form 10-Q audited?
Form 10-Q is similar to Form 10-K but less detailed. Additionally, the financial statements in a 10-Q are near the beginning of the filing, unlike the 10-K. The financial statements in a Form 10-Q are considered unaudited, unlike in the 10-K, where a full audit is performed.
Which of the following entities requires the filing of the Form 10-Q?
Yes, all U. S. public companies issuing common shares of stock that trade on exchanges are required to file Form 10-Q.
What is Form 10-Q used for?
The 10-Q provides a window into the financial health of a company. Investors can use the form to get a sense of its quarterly earnings and other elements of its operations and to compare them to previous quarters. Thus, it is a dependable performance-tracking tool.
Who signs 10-Q?
At least one complete copy of the report filed with the Commission and one such copy filed with each exchange must be manually signed on the registrant's behalf by a duly authorized officer of the registrant and by the principal financial or chief accounting officer of the registrant.
Who has to file 10-Q?
Any publicly traded company must file the Form 10-Q, along with the Form 10-K and other required filings. The SEC gives two timeframes for filing: Large accelerated and accelerated filers with a float exceeding $700 million need to submit Form 10-Q within forty days of the quarter's end.
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What is FORM 10-Q?
FORM 10-Q is a quarterly report required by the U.S. Securities and Exchange Commission (SEC) that publicly traded companies must file. It provides a comprehensive overview of the company's financial performance and is filed three times a year, covering the first three quarters of the fiscal year.
Who is required to file FORM 10-Q?
All publicly traded companies in the United States, including foreign companies that trade on U.S. exchanges, are required to file FORM 10-Q with the SEC.
How to fill out FORM 10-Q?
To fill out FORM 10-Q, companies must gather financial statements, management analysis, and other required disclosures. They should ensure the information is prepared in accordance with generally accepted accounting principles (GAAP) and provide all relevant data for the quarter, including unaudited financial statements and an analysis of financial condition and results.
What is the purpose of FORM 10-Q?
The purpose of FORM 10-Q is to provide investors with updated financial information on a company's performance and condition between annual reports (FORM 10-K). It aims to ensure transparency and keep investors informed about a company's ongoing operations and financial health.
What information must be reported on FORM 10-Q?
FORM 10-Q must include unaudited financial statements, management's discussion and analysis (MD&A) of financial condition and results, disclosures related to market risk, legal proceedings, and any changes in internal controls. Companies must also disclose any significant changes in their business or operating activities.
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