Course 103: The SEC and Regulation of the Stock Market
The Division of Corporate Finance
In this course
1 Introduction
2 The Division of Corporate Finance
3 The Division of Market Regulation
4 The Division of Investment Management
5 The Division of Enforcement

The main function of this division is to make sure that all publicly traded companies disclose all the information they are supposed to, both financial and otherwise. The quarterly report that companies have to file with the SEC is called a 10-Q, and the annual report is called a 10-K. Both reports contain financial statements as well as information about the company’s operations, competitive environment, unusual expenses or charges, and more. The Division of Corporate Finance also reviews applications for initial public offerings (called prospectuses, or S-1 filings) and documents relating to mergers and acquisitions.

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