HOME

TheInfoList



OR:

The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and
broker-dealer In financial services, a broker-dealer is a natural person, company or other organization that engages in the business of trading securities for its own account or on behalf of its customers. Broker-dealers are at the heart of the securities and ...
s are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's
EDGAR Edgar is a commonly used English given name, from an Anglo-Saxon name ''Eadgar'' (composed of '' ead'' "rich, prosperous" and '' gar'' "spear"). Like most Anglo-Saxon names, it fell out of use by the later medieval period; it was, however, r ...
(Electronic Data Gathering, Analysis, and Retrieval) database.


Common filing types

The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. The Risk Factors contain a list of all of the potential risks that exist for the company. While the MD&A contains a narrative about the financial results of the company. This narrative is also accompanied by management's expectations for the upcoming year. Other filings are required with respect to offerings by private companies.


All filing types

Th
filings
accepted by the SEC as of November 2011.


See also

* Form 10-K405


Form suffixes


Finding forms

All forms are filed with the SEC, and many can be found for free in the SEC's
EDGAR Edgar is a commonly used English given name, from an Anglo-Saxon name ''Eadgar'' (composed of '' ead'' "rich, prosperous" and '' gar'' "spear"). Like most Anglo-Saxon names, it fell out of use by the later medieval period; it was, however, r ...
database. There are also several other portals that specialize in sorting information found in individual forms, such as the financial search engine, AlphaSense. Forms which are not found in EDGAR include the Form PF, which is used for private funds and is kept confidential per the Dodd–Frank Act.Memorandum: SEC Adopts Form PF


References

{{Reflist


External links

*
full listing of EDGAR form types


(including forms not included in EDGAR list)
SEC website
* Financial reporting