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SEC.gov Company Search Page

Details: Guides. How to Research Public Companies Learn how to quickly research a company's operations and financial information with EDGAR search tools.. Form Types Review reference versions of EDGAR forms filed by companies, funds, and individuals.. Investor.gov Your online resource to help you make sound investment decisions and avoid fraud.

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List of Companies

Details: Philip Morris Companies Inc. Phillips Petroleum Co Phillips Van Heusen Corp. Phoenix Companies Inc Pier 1 Imports Inc. Pilgrim's Pride Corporation Pinnacle West Capital Corp Pioneer-Standard Electronics Inc. Pitney Bowes Inc. Pittston Brinks Group Plains All American Pipeline LP PNC Financial Services Group Inc.

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SEC.gov Sample Letter to China-Based Companies[1]

Details: Sample Letter to China-Based Companies. [1] Recent events have highlighted the risks associated with investing in companies that are based in or that have the majority of their operations in the People’s Republic of China (China-based companies). The Division of Corporation Finance believes that more prominent, specific, and tailored

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SEC.gov Investor Bulletin: Publicly Traded Business

Details: The companies BDCs invest in are typically in their early stages of development, or are distressed companies that may not be able to obtain bank loans or raise money from other investors. Sometimes BDCs may help manage the companies they invest in. BDCs are sometimes compared to venture capital funds or private equity funds, which provide

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SEC.gov Statement Holding Foreign Companies …

Details: Dec. 2, 2021. Today, the Securities and Exchange Commission adopted final amendments to its rules implementing the Holding Foreign Companies Accountable Act of 2020 (HFCAA). Today’s amendments finalize the interim final rules that the Commission adopted in March, which had addressed the submission and disclosure requirements of the HFCAA

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SEC.gov Division of Corporation Finance: Standard

Details: The Standard Industrial Classification Codes that appear in a company's disseminated EDGAR filings indicate the company's type of business. These codes are also used in the Division of Corporation Finance as a basis for assigning review responsibility for the company's filings. For example, a company whose business was Metal Mining (SIC 1000) …

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SEC.gov Holding Foreign Companies Accountable Act …

Details: On December 18, 2020, the Holding Foreign Companies Accountable Act became law. Among other things, it requires the Commission to identify public companies that have retained a registered public accounting firm to issue an audit report where the firm has a branch or office that: (1) is located in a foreign jurisdiction, and (2) the Public Company …

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SEC.gov Special Purpose Acquisition Companies

Details: A SPAC is a company with no operations that offers securities for cash and places substantially all the offering proceeds into a trust or escrow account for future use in the acquisition of one or more private operating companies. Following its initial public offering, or IPO, the SPAC will identify acquisition candidates and attempt to

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Holding Foreign Companies Accountable Act Disclosure

Details: Companies Accountable Act (HFCAA), which requires the agency to identify certain issuers that filed annual reports with audit reports issued by registered public accounting firms located in foreign jurisdictions and that the Public Company Accounting Oversight Board (PCAOB) is

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Executive Order on Securities Investments that Finance

Details: Military Companies . The Division of Examinations (“Division”) 1. is issuing this Risk Alert to notify investment advisers, broker-dealers, and other market participants of a recent action relating to investments in securities associated with Communist Chinese military companies, as well as investors transacting in such securities.

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SEC.gov SEC Adopts Amendments to Finalize Rules Relating

Details: SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act. Rules Set Forth the Submission and Disclosure Requirements Mandated by the Act. FOR IMMEDIATE RELEASE 2021-250 Washington D.C., Dec. 2, 2021 — The Securities and Exchange Commission today adopted amendments to finalize rules …

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SEC.gov SEC Charges Eight Companies for Failure to

Details: Each of the companies was a public reporting company at the time of the violations and agreed to settle the Commission's charges and pay civil penalties. Public companies are required to file the SEC's Form 12b-25 "Notification of Late Filing," commonly known as "Form NT," when "not timely" filing a Form 10-Q or Form 10-K and seeking …

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SEC.gov SEC Enforcement Actions: FCPA Cases

Details: The companies paid $28.3 million to settle SEC and criminal charges. (8/6/10) Joe Summers (Pride International) – SEC charged a former manager at one of the world's largest offshore drilling companies for authorizing bribes to government officials in Venezuela to extend drilling contracts and secure difficult-to-obtain receivables from the

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SEC.gov SEC Staff Issues Accounting Guidance on "Spring

Details: 2021-246. Washington D.C., Nov. 29, 2021 —. Securities and Exchange Commission staff today released guidance for companies about how to properly recognize and disclose compensation cost for "spring-loaded awards" made to executives. Spring-loaded awards are share-based compensation arrangements where a company grants stock options or other

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SEC.gov Sample Letter to Companies Regarding Climate

Details: Companies also must disclose, in addition to the information expressly required by Commission regulation, “such further material information, if any, as may be necessary to make the required statements, in light of the circumstances …

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SEC.gov Going Dark: The Growth of Private Markets and

Details: See Morgan Stanley, Public to Private Equity in the United States: A Long-Term Look (Aug. 4, 2020) (“Further, companies have raised more money in private markets than in public markets in each year since 2009. For example, companies raised $3.0 trillion in private markets and $1.5 trillion in public markets in 2017. These changes in how investors invest and …

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SEC.gov Emerging Growth Companies

Details: If your company qualifies as an “emerging growth company,” as defined in Section 2 (a) (19) of the Securities Act, it may choose to follow disclosure requirements that are scaled for newly public companies. A company qualifies as an emerging growth company if it has total annual gross revenues of less than $1.07 billion during its most

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THE JONES FINANCIAL COMPANIES, L.L.L.P.

Details: The Jones Financial Companies, L.L.L.P. (“JFC”) is a registered limited liability limited partnership organized under the Missouri Revised Uniform Limited Partnership Act. Unless expressly stated, or the context otherwise requires, the terms “Registrant” and “Partnership” refer to JFC and all of its consolidated subsidiaries.

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SEC.gov How to Read a 10-K/10-Q

Details: The Roles of Companies and the SEC. The company prepares the 10-K and 10-Q and files it with the SEC. Laws and regulations prohibit companies from making materially false or misleading statements. Likewise, companies are prohibited from omitting material information that is needed to make the disclosure not misleading.

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SEC.gov CF Sample Letter to Companies Regarding Climate

Details: CF Sample Letter to Companies Regarding Climate Change Disclosures. Sept. 22, 2021. The Division of Corporation Finance has posted a sample letter to companies regarding climate change disclosures. Modified: Sept. 22, 2021.

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Conformed to Federal Register version

Details: firms that, among other things, prepare accountant’s reports on U.S. public companies and are required to register with the PCAOB. The term “accountant’s report” is defined in 17 CFR 210.1-02(a)(1) (Rule 1-02(a)(1) of Regulation S-X), with regard to financial statements, as a document in which an independent public or

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SEC.gov Statement on Rule 10b5-1 and Insider Trading

Details: For companies trading in their own securities, the proposal would establish a 30-day cooling off period. Such a cooling-off period would more distinctly separate establishing a trading plan from the actual trades. Second, today’s proposals would prohibit overlapping plans and limit single-trade plans to one every 12 months. Currently, with

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SEC.gov SEC Charges Three Media Companies with Illegal

Details: Companies to Pay More Than $539 Million in Settlement for Distribution to Investors. FOR IMMEDIATE RELEASE 2021-175 Washington D.C., Sept. 13, 2021 — The Securities and Exchange Commission today charged New York City-based GTV Media Group Inc. and Saraca Media Group Inc., and Phoenix, Arizona-based Voice of Guo Media Inc., with …

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SEC.gov The Importance of High Quality Independent

Details: Research shows, similar to public companies, U.S. private companies that voluntarily release audited financial statements experience lower costs of debt than unaudited companies. Apart from debt-related benefits, an audit may also help a private company prevent fraud and aid in the evaluation of management.

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SEC.gov Financial Reporting Manual

Details: for banks, bank holding companies and savings and loan holding companies, 2,000 or more record holders. Exchange Act Section 12(b) Companies seeking to register a security for trading on a national securities exchange must register the class of securities under Section 12(b) of the Exchange Act. Registration Statement Forms

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Securities Offering Reform for Closed-End Investment Companies

Details: Like operating companies, affected funds will be able to satisfy their final prospectus delivery obligations by filing their prospectuses with the Commission. These amendments are designed to reduce regulatory costs while providing more timely information to investors. New Method for Interval Funds and Certain ETPs to Pay Registration Fees.

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SEC.gov Over-the-Counter Market

Details: Many of these companies do not file periodic reports or audited financial statements with the SEC, making it difficult for the public to find current, reliable information about those companies. OTC Link is registered with the SEC as a broker-dealer and as an alternative trading system, and is a member of FINRA.

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SEC.gov Disclosure Considerations for China-Based Issuers

Details: According to the PCAOB, “[i]n the 18-month period ended June 30, 2020, 17 PCAOB-registered firms in mainland China and Hong Kong signed audit reports for 202 public companies with a combined global market capitalization (U.S. and non-U.S. exchanges) of approximately $1.8 trillion.”

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SEC.gov Investment Companies

Details: Investment Companies July 9, 2013 Generally, an "investment company" is a company (corporation, business trust, partnership, or limited liability company) that issues securities and is primarily engaged in the business of investing in securities.

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SEC.gov Financial Reporting Manual

Details: Back to Table of Contents. TOPIC 10 - Emerging Growth Companies (Last updated: 6/30/2013) Title I of the JOBS Act, which was effective as of April 5, 2012, created a new category of issuers called “emerging growth companies, or EGCs” whose financial reporting and disclosure requirements in certain areas differ from other categories of issuers.

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Foreign Companies (2000): Alphabetical Listing by Company Name

Details: Foreign Companies Registered and Reporting With the U.S. Securities and Exchange Commission December 31, 2000 Alphabetical Listing by Company Name. Legend: NYSE - New York Stock Exchange AMEX - American Stock Exchange NMS - Nasdaq Stock Market-National Market System SM CAP - Nasdaq Stock Market-Small Cap Market OTC - Over-the-Counter …

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Foreign Companies Registered and Reporting with the U.S

Details: Foreign Companies Registered and Reporting with the U.S. Securities and Exchange Commission December 31, 2003 Geographic Listing by Country of Incorporation. Legend: NYSE - New York Stock Exchange AMEX - American Stock Exchange NMS - Nasdaq Stock Market-National Market System SM CAP - Nasdaq Stock Market-Small Cap Market OTC - Over-the …

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SEC.gov Financial Reporting Manual

Details: Companies that qualify as smaller reporting companies are not subject to S-X 5-04 or 4-08(e), even when the disclosure thresholds are triggered. However, when the restricted net assets of a smaller reporting company’s consolidated subsidiaries are a significant proportion of consolidated net assets as of the most recently completed fiscal

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SEC.gov Officers, Directors and 10% Shareholders

Details: Section 13(k) of the Exchange Act prohibits SEC reporting companies from making personal loans to their directors and officers. Loans made in the ordinary course of business at market rates by issuers that are financial institutions or in the business of consumer lending are excepted from the prohibition.

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THE BEAR STEARNS COMPANIES INC.

Details: Founded in 1923, The Bear Stearns Companies Inc. (NYSE: BSC) is the parent company of Bear, Stearns & Co. Inc., a leading investment banking and securities trading and brokerage firm. With approximately $32.0 billion in total capital, Bear Stearns serves governments, corporations, institutions and individuals worldwide.

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Foreign Companies:Alphabetical Listing by Company Name

Details: Foreign Companies Registered and Reporting With the U.S. Securities and Exchange Commission December 31, 2001 Alphabetical Listing by Company Name. Legend: NYSE - New York Stock Exchange AMEX - American Stock Exchange NMS - Nasdaq Stock Market-National Market System SM CAP - Nasdaq Stock Market-Small Cap Market OTC - Over-the-Counter …

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SEC.gov Can the SEC Make ESG Rules that are Sustainable

Details: One example is the SEC requiring companies to make disclosures related to their use of conflict minerals, which aimed to address the humanitarian crisis in the Democratic Republic of the Congo. See Commissioner Elad L. Roisman, “Keynote Speech at the Society for Corporate Governance National Conference”

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SEC.gov What You Need to Know About SPACs – Updated

Details: Public companies may list their securities on an exchange. If you invest in a SPAC at the IPO stage, you are relying on the management team that formed the SPAC, often referred to as the sponsor(s), as the SPAC looks to acquire or …

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Observations from Examinations of Advisers that Provide

Details: such programs could be considered investment companies pursuant to the Company Act . More specifically, the staff inquired as to whether the advisers were aware of how these programs were organized and whether they were being operated in accordance with the nonexclusive safe harbor provided by Rule 3a-4. III. Staff Observations . 9

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SEC.gov Financial Reporting and Auditing Considerations

Details: Special Purpose Acquisition Companies (“SPACs”) have been used for decades as a vehicle for private companies to enter the public markets, but have recently become increasingly popular. In just the first two months of 2021, both the number of new SPACs and amount of capital raised by those SPACs have been reported to already match

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SEC.gov Investor Bulletin: Publicly Traded REITs

Details: A REIT, or real estate investment trust, is a company that owns – and typically operates – income-producing real estate or real estate-related assets. The income-producing real estate assets owned by a REIT may include real assets ( e.g., apartment or commercial buildings) or real estate-related debt ( e.g., mortgages).

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