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Chapter 19: 8-K Filings Guide Quiz
Test your knowledge of the 8-K filings chapter material!
1 / 10
What is something in an 8-K that you shouldn’t overlook?
The answer can be found on pages 202-203.
Correct! Exhibits, amendments, and changes between filings can all be invaluable sources of information for stories.
2 / 10
Which of these is a free service that helps find specific words or phrases across filing from multiple companies?
The answer can be found on page 201.
Correct! It does many of the things that the paid services above will do, although the site’s interface can be less intuitive and take more practice to learn and operate.
3 / 10
What is the word the SEC uses for the following definition: “there is a substantial likelihood that a reasonable investor would consider the information important in making an investment decision”?
The answer can be found on page 210.
That’s right!
4 / 10
Items 7.01 is for filing related to Regulation FD. What does the FD stand for?
The answer can be found on page 209.
That's right! This item prohibits companies from disclosing significant details to select investors. Regulation FD 8-Ks generally disclose some piece of previously undisclosed information that was inadvertently shared with a smaller group of investors, perhaps at an analyst’s conference.
5 / 10
8-K amendments are coded as what in EDGAR?
The answer can be found on page 202.
Correct! Companies can amend 8-Ks long after they are originally filed, so keep an eye out for these.
6 / 10
What item number can be a signal that a big outside investor is buying a significant stake in the company?
The answer can be found on page 205.
That’s right! These 8-Ks are triggered by the sale of 1% (or, for smaller companies, 5%) of the company’s shares in a private transaction.
7 / 10
Any “material” cybersecurity incident or breach must be disclosed along with the actual material impact on the company’s operations or financial condition must be filed under what item number?
The answer can be found on page 204.
Correct!
8 / 10
An 8-K can also be referred to as a “current report”
The answer can be found on page 200.
That’s correct! As the name suggests, they’re intended for disclosing timely information.
9 / 10
If you were looking for financial statements and exhibits, what item number would you look for?
Correct! This code is usually used in conjunction with others, such as Item 2.01 (acquisition and disposition of assets), to include reworked financial statements reflecting the impact of the acquisition or sale.
10 / 10
If you are looking for information related to a specific company's filing, you can ask the SEC's public affairs office for assistance.
The answer can be found on page 211.
Correct! The public affairs office can answer technical questions about EDGAR, filings, and filing requirements. However, they tend to shy away from company-specific questions and controversial issues.
Your score is
The average score is 65%
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