Firm’s Corporate and General Business Group Can Do on line SEC Filings


the Firm’s Corporate and General Business group now has the capability to do on line Securities and Exchange Commission (SEC) filings of SEC EDGAR (Electronic Data Gathering and Retrieval) through the SEC’s EDGARlink(tm) software recently installed and successfully used by the Firm. This capability applies to EDGAR filings under, among other laws, the U.S. Securities Act of 1933 (e.g. securities registration statements), the U.S. Securities Exchange Act of 1934 (e.g. annual and quarterly reports of public companies), the Investment Company Act of 1940 (e.g. investment company registration statements) and the Williams Act (e.g. Form 13D Filings). The Firm also has done, for some time now, on line Internet filings of Form BD for securities broker dealers with the NASD through Web CRD and on line filings of Form ADV for securities investment advisers with the Investment Advisors Registration Depository (IARD). For more information, contact Howell Bramson.