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  3. Topic: Securities Transactions and Asset Disclosure Act Written by: Accounting Department As employees of a securities broker,

Topic: Securities Transactions and Asset Disclosure Act Written by: Accounting Department As employees of a securities broker,

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问题 Topic: Securities Transactions and Asset Disclosure Act
Written by: Accounting Department
As employees of a securities broker, we are all subjected to the new Securities Transactions and Asset Disclosure Act(ST30123) which has been enacted to improve transparency in the industry. All employees are required to adhere to the act. It is a requirement for us to post the act for every employee to read carefully.
Securities* Transactions and Asset Disclosure Act
1. All employees must fill out an S-20 form declaring the securities purchased and sold during the last 3 months for each quarter of the year.(January April, July October)
2. All employees must fill out an S-30 form declaring the securities purchased and sold by their immediate family(spouse, parents, and siblings) for the last 6 months for every six months of the year.(January and July)
3. All employees must fill out an S-40 form declaring a detailed listing of all securities purchased and sold for the last year with all major assets listed.(February)
* Securities such as stocks, mutual funds, futures, and bonds must be declared. All transactions with an equivalent of more than $10,000 in currency value must be reported as well.
* Employees’ property value and bank accounts are some of the major assets that must be declared as well. The selling and buying transactions of all properties must also be declared.
Which of the following information should be provided on the S-30 form?
选项 A、The interest earned from a savings account
B、The dividends received from stock investments
C、The investment earnings collected by a spouse
D、The increased value of a property
答案C
解析 每6个月上报一次直系亲属的证券买卖情况。答案是(C)。
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