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FORM 4 ? Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ? Check this box to indicate that a transaction was made pursuant to a
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In compliance with the SEC (Securities and Exchange Commission) means adhering to the laws and regulations that govern securities transactions and reporting in the United States.
Public companies, broker-dealers, investment advisers, and mutual funds are required to file reports and disclosures in compliance with the SEC.
To fill out forms in compliance with the SEC, you need to gather the required financial and operational information, complete the necessary forms accurately, and submit them through the SEC’s EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system.
The purpose of compliance with the SEC is to protect investors, maintain fair and efficient markets, and facilitate capital formation by ensuring transparency and accountability in the securities industry.
Information that must be reported includes financial statements, management discussion and analysis, insider trading reports, and disclosures regarding material events that may affect the company’s financial condition.
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