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UNITED STATESSECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 DI VI SI ON OF CORPORATI ON FI NANCEJuly 16, 2013 Via EMail Gregory G. Johnson, Esq. Bryan Cave LLP 1200 Main Street, Suite 3500
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The Securities and Exchange Commission (SEC) is a U.S. government agency responsible for regulating the securities industry, enforcing federal securities laws, and protecting investors.
Publicly traded companies, certain investment firms, and individuals involved in the securities market, including brokers and dealers, are required to file with the SEC.
To fill out SEC forms, entities must complete the required documents accurately with necessary information, then submit them electronically through the SEC's EDGAR system or as directed in specific form instructions.
The purpose of the SEC is to protect investors, maintain fair and efficient markets, and facilitate capital formation by regulating the securities industry.
Entities must report financial statements, disclosures about their business operations, management, insider trading activities, and any material events that might impact share price.
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