SIE Exam Question 692: Answer and Explanation

Question: 692

Which of the following must be filed for each of the first three fiscal quarters of a company's fiscal year, and includes unaudited financial statements and provides a continuing view of the company's financial position during the year?

• A. Form ADV
• B. Form 8-K
• C. Form 10-K
• D. Form 10-Q

Correct Answer: D

Explanation:

Form 10-Q must be filed for each of the first three fiscal quarters of a company's fiscal year. It includes unaudited financial statements and provides a continuing view of the company's financial position during the year.