Corporation Finance Staff Interpretations.Other Commission Orders, Notices and Information.Investment Company Act Deregistration Notices and Orders.Investment Company Act Notices and Orders.Investment Advisers Act Applications, Notices and Orders.Exchange Act Exemptive Notices and Orders.Public Utility Holding Company Act Filings and Notices.Self-Regulatory Organization Rulemaking.Commission Opinions & Adjudicatory Orders.Administrative Proceedings - Notices & Settlements.Litigation Releases - Federal Court Actions.Public statements, proposed and final rules, enforcement actions, educational materials, special reports and studies, speeches, testimony and other SEC documents can also be obtained in electronic form by using the online SEC search feature or the attached links: Litigation You can learn more about using EDGAR here.
#SEC FILINGS FOLIO INSTITUTIONAL REGISTRATION#
The SEC database for company filings, which includes quarterly and annual reports, registration statements for IPOs and other offerings, insider trading reports, and proxy materials, can be obtained in electronic form by using the SEC’s EDGAR system.
#SEC FILINGS FOLIO INSTITUTIONAL HOW TO#
How to Access or Request Filings and Other Records Company Filings See our Investor Bulletin to learn more about investor complaints. Information about contacting the SEC can be found here.įor any complaint relating to your investment or investment professional, you can submit your complaint with our Complaint form. If you have questions and inquiries relating to the SEC, to federal securities laws or investments, your inquiry should be submitted via this Questions and Feedback form. Instructions for accessing, or requesting access to, all other records can be found below. All other records, including public comments received on rulemakings are available for review on the Commission’s website at. Visitors are requested to contact they come in to ensure that the materials they are looking for are available. The PRR is open on Wednesdays from 10am-3:30pm. The Public Reference Room (PRR) has reopened to members of the public who wish to review Forms 144 from the last 90 days filed in paper. The Laws That Govern the Securities Industry.Researching the Federal Securities Laws Through the SEC Website.
Structured Notes with Principal Protection.Smart Beta, Quant Funds and other Non- Traditional Index Funds.Mutual Funds and Exchange-Traded Funds (ETFs).Publicly Traded Business Development Companies (BDCs).Stock Purchases and Sales: Long and Short.Pay Off Credit Cards or Other High Interest Debt.Required Minimum Distribution Calculator.Investment Professional Background Check.Working with an Investment Professional.Five Questions to Ask Before You Invest.
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