Frequent question: What is the UK equivalent of SEC?

Does the UK have a sec?

The Securities and Exchange Commission and the United Kingdom (UK) Financial Conduct Authority (FCA) have today reaffirmed their commitment to continue close cooperation and information sharing in the event of the UK’s withdrawal from the European Union (EU).

What is the SEC in London?

SEC CIK #0001657036

London Stock Exchange is a financial exchange company. It has a global presence, with most of its revenue coming from its information services segment, including its FTSE Russell indexes, as well as LCH, which is most notable for its OTC clearing and compression services, known as SwapClear.

What are the three types of SEC?

Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13, Form 114, and Foreign Investment Disclosures.

Is the SEC an independent regulatory agency?

The SEC is an independent federal agency, established pursuant to the Securities Exchange Act of 1934, headed by a five-member Commission. The Commissioners are appointed by the President and confirmed by the Senate. The President designates one of the Commissioners as the Chairman.

How do I find out if a company is listed on the London Stock Exchange?

For a straightforward list of stocks listed on the London Stock Exchange, go to its website and click on the link to ‘Statistics’. From there, you can choose between ‘FTSE’ or ‘Companies and Securities’.

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What is a 10-K filing with the SEC?

A 10-K is a comprehensive report filed annually by public companies about their financial performance. The report is required by the U.S. Securities and Exchange Commission (SEC) and is far more detailed than the annual report. … The 10-K is a useful tool for investors to make important decisions about their investments.

What is the difference between a 10-K and a 10-Q?

10K vs. 10Q: what’s the difference? 10K reports are annual and must include audited financial statements. 10Q reports are quarterly and include unaudited financial statements.

Why is it called a 10-K?

Information for the final quarter of a firm’s fiscal year is included in the annual 10-K, so only three 10-Q filings are made each year. … The name of the Form 10-K comes from the Code of Federal Regulations (CFR) designation of the form pursuant to sections 13 and 15(d) of the Securities Exchange Act of 1934 as amended.