(Self-)Important regulatory filings
After years of sorting through regulatory filings on the U.S. Securities and Exchange Commission site, I’ve stumbled across a couple of my own stories.
For wonks of a certain slant — like me — this is a momentous occasion. I wrote a story last month about a local security firm’s plan to launch an exchange traded fund focusing exclusively on Oklahoma-based stocks.
The firm, Capital West Securities, filed my story and the list that accompanied it with the SEC. The document was referred to as a From 497 — Definitive materials.
Earlier this year, another local company, LSB Industries, filed a story I wrote in which the CEO made some comments about his expectations for the coming year.
I can only assume it was an abundance of caution on the part of the firms to consider the stories reportable events that contained information that needed to be widely distributed. I’m not complaining; I’ll take readers wherever I can.
Don Mecoy
Business Writer
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