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NEWSLETTER DECEMBER 2011SEC LIMITS CONFIDENTIAL SUBMISSIONS BY FOREIGN PRIVATE ISSUERS On December 8, 2011, the U.S. Securities and Exchange Commission (the SEC) issued a new policy1 limiting the

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What is sec limits confidential submissions?

SEC limits confidential submissions refer to the confidential reports that entities must submit to the U.S. Securities and Exchange Commission (SEC) when they exceed certain ownership limits.

Who is required to file sec limits confidential submissions?

Entities that exceed certain ownership limits are required to file sec limits confidential submissions with the SEC.

How to fill out sec limits confidential submissions?

To fill out sec limits confidential submissions, entities need to provide relevant ownership information, such as the name and address of the entity, the securities held, and the percentage of ownership.

What is the purpose of sec limits confidential submissions?

The purpose of sec limits confidential submissions is to ensure transparency and compliance with SEC regulations regarding ownership limits.

What information must be reported on sec limits confidential submissions?

Sec limits confidential submissions require entities to report information such as the name and address of the entity, details of the securities held, and the percentage of ownership.

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