What agency do public companies report to?

The Securities and Exchange Commission (SEC)
The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures. Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company.

Which companies must file with SEC?

Even if a company doesn’t have to register its securities for an offering, it still may have to file reports with the SEC if the company lists its securities on an exchange or has more than $10 million in assets and a class of equity securities with either 2,000 or more record holders or 500 or more record holders that …

Who does the SEC report to?

the president of the United States
The SEC is managed by five commissioners appointed by the president of the United States. The SEC Commission is designed to be nonpartisan — no more than three commissioners can be from the same political party. The SEC operates offices across the country, with its headquarters in Washington, D.C.

How many days does a public company have to file a 10-K?

60 days
According to the SEC, companies with a public float—shares issued to the public that are available to trade—of $700 million or more must file their 10-K within 60 days after the end of their fiscal year.

Do private companies have to file with SEC?

All U.S. companies, both private and public, are required to file financial documents with the secretary of state in the state where they incorporate. After filing these documents, a company is not required to provide any additional information to the public in its operations.

Who is required to register with SEC?

While there are some exceptions, in general, investment advisors with $100 million or greater in regulatory assets under management (AUM) must register with the SEC as Registered Investment Adviser (RIA).

What are the requirements of a public company?

A public company’s disclosure obligations begin with the initial registration statement that it files with the SEC. But the disclosure requirements don’t end there. Public companies must continue to keep their shareholders informed on a regular basis by filing periodic reports and other materials with the SEC.

When do public companies have to file annual report?

All smaller reporting companies are required to file an annual report with the SEC on Form 10-K within 90 days of end of its fiscal year.

Why do public companies have to report to the SEC?

A public company with a class of securities registered under either Section 12 or which is subject to Section 15(d) of the Securities Exchange Act of 1934, as amended (“Exchange Act”) must file reports with the SEC (“Reporting Requirements”).The underlying basis of the Reporting Requirements is to keep shareholders and the markets informed on a …

How to request information from a federal agency?

If the information you want is not publicly available, you can submit a FOIA request to the agency’s FOIA Office. The request simply must be in writing and reasonably describe the records you seek. Most federal agencies now accept FOIA requests electronically, including by web form, e-mail or fax.