FINA 32100 Security Analysis & Portfolio Management
S.E.C. Document Sources
The following are various resources which will help you locate documents for publicly traded companies that you are interested in researching.
- EDGAR Database (Securities and Exchange Commission)
Contains official SEC documents including Form 10-K, 10-Q, proxy statements, registration statements, and merger and acquisition documents.
Note: Be sure to look at the DEF14A (Proxy) statements and the Management Discussion and Analysis sections of Form 10-K & 10Q for insights into management.
- SEC InfoThis site links to various Securities and Exchange Commission documents that companies are required to file.
Google Search of the Company's Website for Investor Relations. The documents the company has filed will be listed here. You may also find annual reports (which is not a required S.E.C. document), news releases, conference calls, presentations to analysts and corporate social responsibility reports.
Bloomberg Terminal-Ticker Symbol>EQUITY<CF>GO. Example: AAPL<EQUITY><CF><GO>
Powerpoint Presentation & Other Documents
- S.E.C. Documents (Powerpoint)Powerpoint presentation on major documents and their uses.
- S.E.C. Documents Exercise (pdf)Short group exercise investigating 3 different types of documents and their uses.
- S.E.C. Forms ListDescription of all the various forms and what they are used for
- Using Edgar to Research InvestmentsThe EDGAR database provides free public access to corporate information, allowing you to research a public company’s financial information and operations by reviewing the filings the company makes with the SEC. You can also research information provided by mutual funds (including money market funds), exchange-traded funds (ETFs), and variable annuities.
- Securities Registration Forms from Investopedia.comExplore the two main types of registration statements: offerings registrations filed under the Securities Act of 1933, and trading registrations filed under the Securities Exchange Act of 1934.
- Operations Forms from Investopedia.comAll publicly traded companies and investment companies must provide specific info about their activities. These include comprehensive reports covering the prior fiscal year and quarterly reports.
- How to Read a Form 8-KForm 8-K provides investors with current information to enable them to make informed decisions. The types of information required to be disclosed on Form 8-K are generally considered to be “material.” That means that, in general, there is a substantial likelihood that a reasonable investor would consider the information important in making an investment decision. Must be filed within four days of a triggering event if not sooner.
- Search for Recent Daily Filings by TypeSearch as far back as the most recent five days by type of form filed.
