Get the free Penny Stock Form 3-13

Abraham & Co., INC. Investment Advisors & Securities Brokers Customer Authorization to Purchase and Sell Penny Stock’s) Pursuant to SEC Rule 15g9 Customer Name: Account Number: Name of Issuer’s):

How to fill out penny stock form 3-13

How to fill out penny stock form 3-13:

1. Start by obtaining the penny stock form 3-13 from the appropriate regulatory authority, such as the Securities and Exchange Commission (SEC) in the United States.
2. Carefully read and understand the instructions provided with the form. It is essential to follow these instructions to ensure accuracy and compliance with the relevant regulations.
3. Provide your personal information, including your name, address, and contact details, in the designated sections of the form.
4. If you are filling out the form on behalf of a company or organization, provide the necessary information about the entity, such as its name, address, and legal structure.
5. Specify the details of the penny stock in question, including the company issuing the stock, the stock symbol or ticker, and the exchange on which it is traded.
6. Disclose the nature of your relationship with the company, whether you are an officer, director, or beneficial owner of more than 10% of the company's securities.
7. Detail any transactions involving the penny stock in the reporting period, including purchases, sales, or transfers. Provide the date of each transaction, the number of shares involved, and the price per share.
8. Indicate any exceptions or exemptions you are utilizing, if applicable, by following the provided instructions on the form.
9. Sign and date the form to certify the accuracy and completeness of the information provided.
10. Submit the filled-out form to the regulatory authority within the required timeframe.

Who needs penny stock form 3-13:

1. Individuals or entities who are officers, directors, or beneficial owners of more than 10% of a company's securities may need to fill out penny stock form 3-13.
2. The form ensures transparency and compliance with regulations by requiring disclosure of transactions involving penny stocks.
3. Regulatory authorities, such as the SEC, may use the information provided on the form to monitor and regulate trading activities related to penny stocks.

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What is penny stock form 3-13?

Penny stock form 3-13 is a filing form that must be submitted to the Securities and Exchange Commission (SEC) by certain companies that issue penny stocks.

Who is required to file penny stock form 3-13?

Companies that issue penny stocks and meet specific criteria set by the SEC are required to file penny stock form 3-13.

How to fill out penny stock form 3-13?

Penny stock form 3-13 can be filled out electronically through the SEC's EDGAR system. Companies must provide detailed information about their penny stock offerings.

What is the purpose of penny stock form 3-13?

The purpose of penny stock form 3-13 is to provide transparency to investors and regulators about companies that issue penny stocks.

What information must be reported on penny stock form 3-13?

Penny stock form 3-13 requires companies to disclose information about the offering price, number of shares offered, use of proceeds, and other relevant details.