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UNITED STATES OMS APPROVALS. CURITJESANDEXCHANGE COMMISSION32350123OMB Number:Expires:Washington, D.C. 20549August 31, 2020Estimated average burden hours per response...... 12.00ANNUAL AUDITED REPORT FORM
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The Securities and Exchange Commission (SEC) is an independent federal government agency responsible for regulating the securities industry.
Individuals, companies, and organizations involved in buying or selling securities are required to file with the SEC.
To fill out SEC forms, one must provide accurate and complete information about the securities being traded and the parties involved in the transactions.
The purpose of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Information such as the type of security being traded, the price of the security, and the parties involved in the transaction must be reported on SEC forms.
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