What information is contained in a company's 5-1 filing? O It is the annual filing that every company has to file with the SEC each year It is a quarterly filing that every public company must file with the SEC each quarter It is an addendum to the annual 10-K filing that includes conference call transcripts O It is the initial registration filing when a company plans to list their stock on the public exchanges Question 4 5 pts Which of the following is a significant change to the direct listing process that was recently announced by the SEC? The SEC will now allow companies to raise capital using a direct listing format The SEC will allow private companies to remain private along with their direct listings The SEC will now allow smaller companies that don't meet the registration requirements to file for a direct listing The SEC will allow companies using the direct listing process to recoup underwriting fees from banks