Which of the following documents must be filed with the SEC under the Securities Act of 1933 before a company can issue new securities to the public?
A)Form 10-K.
B)Form 10-Q.
C)Prospectus.
D)All of the above.

Question

Quizplus · Accepted Answer

The prospectus is the primary document that must be filed with the SEC under the Securities Act of 1933 before a company can issue new securities to the public. Form 10-K and Form 10-Q are annual and quarterly reports, respectively, that are required to be filed with the SEC under the Securities Exchange Act of 1934 for companies already publicly traded.

Which of the Following Documents Must Be Filed with the SEC