STC Series 79 Chapter 1 Exam 2025
With 100% Correct Answers
EDGAR - CORRECT ANSWER✔✔Holds the filings of the SEC
SEC Registration Requirements - CORRECT ANSWER✔✔Is publicly traded, has more than
$10MM in total assets that are held by 2K or more persons or 500 or more people who are not
accredited investors, or if securities trade on a national securities exchange, in addition to
registering securities at the time they're first offered.
Act of 1934 - CORRECT ANSWER✔✔Requires issuers registered with SEC to file 10K and 10Q
Q4 10Q - CORRECT ANSWER✔✔Included in the 10k
Form 10K - CORRECT ANSWER✔✔Includes business line, assets of company, any legal
proceedings, risk factors, footnotes of accounting policies, market for equity securities, list of
directors and executive directors
Large Accelerated Filer - CORRECT ANSWER✔✔Public float of > $700MM, 1 annual report,
subject to SEC reporting for 12 months.
Large Accelerated Filer Reporting - CORRECT ANSWER✔✔10-K: 60 days
10-Q: 40 days
Accelerated Filer - CORRECT ANSWER✔✔Public float of less than $700mm but more than
$75mm, 1 10K, SEC reporting for 12 months
, Accelerated Filer Reporting - CORRECT ANSWER✔✔10-K: 75 days
10-Q: 40 days
Non-Accelerated Filer - CORRECT ANSWER✔✔Public float of < $75mm
Non-Accelerated Reporting - CORRECT ANSWER✔✔10-K: 90 days
10-Q: 45 days
Form 8K - CORRECT ANSWER✔✔Filed if an event occurs that could materially affect the issuer's
condition or share price, must be disclosed within 4 business days of the event's occurence
Form 8K Filing - CORRECT ANSWER✔✔Termination of material agreement, bankruptcy;
Completion of acquisition or disposition, material impairment, off-balance sheet arrangement;
notice of delisting/unregistered sale of equity securities; change in accountant; change in
control of company, resignation/election of director, amendment to bylaw, ethics; securities act
updating, failure to make a distribution; latest financial statement; other material event;
Regulation FD
Regulation FD - CORRECT ANSWER✔✔issuers barred from selectively disclosing material,
nonpublic information to securities professionals if reasonably foreseeable that the
professionals will trade on the information
If intentional disclosure, must simultaneously disclose to public and disclose promptly
Schedule 13D - CORRECT ANSWER✔✔Must be filed if a group or person acquires > 5% of an
issuer's equity security. Must notify issuer, exchange, and SEC within 10 days. Used if it is a
group doing so. Must include purpose of transaction and any contracts or interest with issuer.
Schedule 13G - CORRECT ANSWER✔✔Filed by institutional investors that don't intent to
influence or control the issue.
With 100% Correct Answers
EDGAR - CORRECT ANSWER✔✔Holds the filings of the SEC
SEC Registration Requirements - CORRECT ANSWER✔✔Is publicly traded, has more than
$10MM in total assets that are held by 2K or more persons or 500 or more people who are not
accredited investors, or if securities trade on a national securities exchange, in addition to
registering securities at the time they're first offered.
Act of 1934 - CORRECT ANSWER✔✔Requires issuers registered with SEC to file 10K and 10Q
Q4 10Q - CORRECT ANSWER✔✔Included in the 10k
Form 10K - CORRECT ANSWER✔✔Includes business line, assets of company, any legal
proceedings, risk factors, footnotes of accounting policies, market for equity securities, list of
directors and executive directors
Large Accelerated Filer - CORRECT ANSWER✔✔Public float of > $700MM, 1 annual report,
subject to SEC reporting for 12 months.
Large Accelerated Filer Reporting - CORRECT ANSWER✔✔10-K: 60 days
10-Q: 40 days
Accelerated Filer - CORRECT ANSWER✔✔Public float of less than $700mm but more than
$75mm, 1 10K, SEC reporting for 12 months
, Accelerated Filer Reporting - CORRECT ANSWER✔✔10-K: 75 days
10-Q: 40 days
Non-Accelerated Filer - CORRECT ANSWER✔✔Public float of < $75mm
Non-Accelerated Reporting - CORRECT ANSWER✔✔10-K: 90 days
10-Q: 45 days
Form 8K - CORRECT ANSWER✔✔Filed if an event occurs that could materially affect the issuer's
condition or share price, must be disclosed within 4 business days of the event's occurence
Form 8K Filing - CORRECT ANSWER✔✔Termination of material agreement, bankruptcy;
Completion of acquisition or disposition, material impairment, off-balance sheet arrangement;
notice of delisting/unregistered sale of equity securities; change in accountant; change in
control of company, resignation/election of director, amendment to bylaw, ethics; securities act
updating, failure to make a distribution; latest financial statement; other material event;
Regulation FD
Regulation FD - CORRECT ANSWER✔✔issuers barred from selectively disclosing material,
nonpublic information to securities professionals if reasonably foreseeable that the
professionals will trade on the information
If intentional disclosure, must simultaneously disclose to public and disclose promptly
Schedule 13D - CORRECT ANSWER✔✔Must be filed if a group or person acquires > 5% of an
issuer's equity security. Must notify issuer, exchange, and SEC within 10 days. Used if it is a
group doing so. Must include purpose of transaction and any contracts or interest with issuer.
Schedule 13G - CORRECT ANSWER✔✔Filed by institutional investors that don't intent to
influence or control the issue.
