SEC and Its Authorities

The SEC requires companies to file various forms for specific financial reporting purposes. Below are

listed various forms required to be filed with the SEC. Utilize the SEC's website and describe what

each form is used for.

Form# Description

a$.$ Example: Annual report pursuant to Sections $13$ & $15($d$)$

$10-$K

b$.10-Q$

c$.11-K$

d$.18-K$

e$.20-F$

f$.40-F$

g$.8-K$

h$.$ S$-1$

i$.6-K$

j$.17-H$

k$.$ F$3$