Sec lookup company
[PDF File]MORGAN STANLEY & CO. LLC - FINRA
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MORGAN STANLEY & CO. LLC CRD# 8209 SEC# 8-15869 Main Office Location 1585 BROADWAY NEW YORK, NY 10036-8293 Regulated by FINRA New York Office Mailing Address 100 SOUTH CHARLES STREET, 4TH FLOOR C/O NORTH AMERICAN REGISTRATION BALTIMORE, MD 21201 This firm is a brokerage firm and an investment adviser firm. For more information about
[PDF File]EDGAR Company Filings
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to find company filings. Guides How to Research Public Companies Search Tools CIK Lookup Tool 2006-7 To search by file number, company name must be left blank. Ticker or CIK Search Company Filings | More Search Options Go ABOUT DIVISIONS ENFORCEMENT REGULATION EDUCATION FILINGS NEWS Search SEC Documents
[PDF File]Form 4 General Instructions - SEC
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Company Act of 1935, and Sections 30(h) and 38 of the Investment Company Act of 1940, and the rules and regulations thereunder. Disclosure of information speci ed on this Form is mandatory, except for disclosure of the I.R.S. identifi fi-cation number of the reporting person if such person is an entity, which is voluntary. If such numbers are
[PDF File]G. IRC 501(c)(7) ORGANIZATION - Internal Revenue Service
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Jul 03, 2001 · an organization was held not to qualify for exemption under IRC 501(c)(7) where it provided its members with sick and death benefits. A club is not exempt if it provides pleasure and recreation on a commercial basis. Evidence that a club may be operating on a commercial basis exists if: 1. Membership requirements are broad or vaguely stated; 2.
[PDF File]FITTING VARIABLE LIFE INSURANCE AND VARIABLE …
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(1992) (hereinafter, the “SEC Report”). FITTING VARIABLE LIFE INSURANCE AND VARIABLE ANNUITIES INTO THE REGULATORY FRAMEWORK OF THE INVESTMENT COMPANY ACT OF 1940 Stephen E. Roth I. Introduction This outline discusses the applicability of the Investment Company Act of 1940, as amended,
[PDF File]Using SIC and NAICS Codes to Locate Companies
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Using SIC and NAICS Codes to Locate Companies What are SIC and NAICS codes? The Standard Industrial Classification (abbreviated 'SIC') is a United States government system for classifying industries by a four-digit code.
[PDF File]REGISTRATION FOR ONE PERSON CORPORATIONS TO OPEN …
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Initially, applications shall be filed manually with the SEC Company Registration and Monitoring Department (CRMD) at the ground floor of Secretariat Building in Philippine International Convention Center in Pasay City. Applications must include a cover sheet, the …
[PDF File]MORGAN STANLEY - FINRA
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MORGAN STANLEY SMITH BARNEY LLC SEC# 149777 8-68191 Main Office Location Mailing Address Business Telephone Number Doing business as MORGAN STANLEY 914-225-1000 Regulated by FINRA New York Office 2000 WESTCHESTER AVENUE PURCHASE, NY 10577-2530 100 SOUTH CHARLES STREET 4TH FLOOR BALTIMORE, MD 21201 Other Names of this Firm Name Where is it used
[PDF File]To look up Executive Compensation at a For-Profit ...
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To look up Executive Compensation at a For-Profit, Publicly Traded Company… 1. Go to the U.S. Securities and Exchange Commission (SEC) company filings website:
[PDF File]3. INDEX TO FORMS - SEC
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3. INDEX TO FORMS As a filer, you will first need to determine whether you must meet your filing obligation via EDGAR. The SEC Rules, particularly Regulation S-T, General Rules and Regulations for Electronic Filings, outline which filings are mandated as electronic. This means that they must be
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