Regulatory Reporting Requirements Flashcards
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Read the first 7 Regulatory Reporting Requirements flashcards as text
A bank holding company subject to the Federal Reserve's capital adequacy rules must submit which quarterly report?
Answer: FR Y-9C
Bank holding companies with $1 billion or more in total assets must file the FR Y-9C Consolidated Financial Statements for Holding Companies quarterly with the Federal Reserve.
Under the Home Mortgage Disclosure Act (HMDA), covered lenders must submit their Loan Application Register (LAR) by what date each year?
Answer: March 1
HMDA requires covered financial institutions to submit their annual Loan Application Register to their federal supervisory agency by March 1.
Which SEC form must insiders (officers, directors, 10%+ shareholders) use to report beneficial ownership changes within two business days?
Answer: Form 4
Form 4 must be filed with the SEC within two business days of a transaction involving a company's securities by a reporting insider.
Under CARES Act and subsequent legislation, employers claiming Employee Retention Credits must reconcile those credits on which payroll tax form?
Answer: Form 941
Employers report and reconcile Employee Retention Credits on Form 941, the Employer's Quarterly Federal Tax Return.
The CFTC requires swap dealers to submit Large Trader reports. What is the primary purpose of these position reports?
Answer: To monitor market concentration and detect manipulation
Large Trader reporting allows the CFTC to monitor market concentration, identify potential manipulation, and conduct market surveillance.
A pharmaceutical company must report an unexpected serious adverse drug event to the FDA within how many calendar days under 21 CFR Part 314?
Answer: 15 days
Under 21 CFR 314.81, NDA holders must report unexpected serious adverse drug experiences to the FDA within 15 calendar days of receipt.
Which report do publicly traded companies use to disclose material events between quarterly SEC filings?
Answer: Form 8-K
Form 8-K is the current report that public companies must file with the SEC to disclose material corporate events between quarterly or annual filings.