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16003951UNITEDSTATES CURITIESAND EXCHANGE COMMISSION Washington, D.C. 20549OMB APPROVAL 32350123 OMB Number: March 31, 2016, Expires: Estimated average burden hours per response......12.00ANNUAL AUDITED
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Companies planning to go public and issue securities need to comply with the regulations enforced by the Securities and Exchange Commission.
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Investment companies, including mutual funds and exchange-traded funds, fall under the regulatory purview of the SEC.
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The Securities and Exchange Commission (SEC) is a U.S. government agency responsible for regulating the securities industry.
Companies, investment advisors, and certain other market participants are required to file with the SEC.
Form ADV is typically used to register with the SEC as an investment advisor, while Form 10-K is used to file annual reports for public companies.
The SEC's main function is to protect investors and maintain fair, orderly, and efficient markets.
Financial statements, disclosures, and other relevant information about the company or investment advisor.
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