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GNAT, I 170 946UNITED STATES OMB APPROVAL OMB Number: 32350123iES AND EXCHANGE COMMISSION Washington, D.C. 20549Expires:May 31,2017EstimatTaeerage burden., I aid noursperre 1z.o0 oqsngANNUAL AUDITED
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IES and Exchange Commission form is typically required by individuals or entities who are involved in financial transactions, securities trading, or investment activities.
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- Investors
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- Broker-dealers
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- Investment advisers
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- Public companies
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- Securities professionals
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The form helps regulatory authorities monitor and regulate the securities industry, ensure fair practices, and protect the interests of investors.
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The Securities and Exchange Commission (SEC) is a regulatory agency that oversees the securities markets in the United States.
Companies that issue securities to the public are required to file with the SEC.
Companies can fill out the required forms and submit them electronically through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
The purpose of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Companies must report financial statements, business operations, executive compensation, and other relevant information.
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