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Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For
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Start by identifying the commission file number on the form.
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Commission file number 0-26850 is a designation used by the U.S. Securities and Exchange Commission (SEC) for tracking filings related to specific institutional investment advisers.
Investment advisers who manage assets over a certain threshold, typically required to register with the SEC, are mandated to file under commission file number 0-26850.
To fill out commission file number 0-26850, an investment adviser needs to provide detailed information about their business practices, including financials, client details, and compliance measures in the required form.
The purpose of commission file number 0-26850 is to facilitate the SEC’s oversight of investment advisers and to ensure compliance with federal regulations.
The information that must be reported includes the adviser's business structure, ownership, financial statements, and any disciplinary history or legal issues.
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