SIE practice questionmediumSecurities Exchange Act of 1934 - Reporting
Which of the following companies is required to file periodic financial reports with the SEC under the Securities Exchange Act of 1934?
- AA small business with only local operations
- BA private company with no public securities
- CA company with shares listed on the NYSE✓ Correct answer
- DA government agency
Explanation
Why C — A company with shares listed on the NYSE
Public companies, such as NYSE-listed, must file reports. Private companies, small businesses with no public shares, and government agencies do not.
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