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REQUEST FOR PROPOSALS (RFP) 2017 FINANCIAL ADVISORS AND/OR SWAP ADVISORS May 31, 2017TABLE OF CONTENTS Section 1 General Information .....................................................................................
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What is andor swap advisors?
And/or swap advisors are forms used to report changes in ownership or securities holdings in a company.
Who is required to file andor swap advisors?
Any individual or entity who acquires or disposes of a significant amount of securities in a company is required to file andor swap advisors.
How to fill out andor swap advisors?
And/or swap advisors can be filled out online through the SEC's EDGAR system or submitted in paper form to the SEC.
What is the purpose of andor swap advisors?
The purpose of andor swap advisors is to provide transparency in securities transactions and help prevent insider trading.
What information must be reported on andor swap advisors?
And/or swap advisors must include information on the type of securities traded, the amount traded, and the parties involved in the transaction.
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