Which of the following is NOT a required Securities and Exchange Commission (SEC) filing for U.S. public companies?

Question

BlackTom AI · Accepted Answer

To tackle this question, I’ll compare each option against what the SEC requires for U.S. public companies.
Option 1: Annual Sales Budgets. This item is generally an internal financial planning document and is not a regulatory filing with the SEC. It’s not listed among the official SEC forms or reports that public companies must file. Therefore, it does not belong to the set of required disclosures.
Option 2: Form 10-K. The 10-K is the comprehensive annual report filed with the SEC, containing audited financial statements, risk factors, management discussion and analysis, and other required information. It is a mandatory annual filing for public companies, so this option clearly represents a required filing.
Option 3: Form 8-K. The 8-K is the current report that public companies must file to disclose significant events or corporate changes that shareholders should be aware of, such as mergers, acquisitions, or leadership changes. This is also a required filing, used to keep investors informed between annual reports.
Option 4: Form 10-Q. The 10-Q is the quarterly report filed with the SEC, providing unaudited financial statements and ongoing disclosures. Like the 10-K, it is a mandated filing, though on a quarterly basis rather than annually.
In summary, options 2, 3, and 4 correspond to SEC-required filings (Form 10-K, Form 8-K, Form 10-Q), each serving a distinct periodic or event-driven disclosure purpose. The first option, Annual Sales Budgets, does not fit into the SEC’s list of required filings and is not a formal filing category. The contrast highlights the regulatory distinction between internal planning documents and mandated regulatory disclosures.

Introduction to Financial Accounting M3: Quiz

Which of the following is NOT a required Securities and Exchange Commission (SEC) filing for U.S. public companies?

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