S.E.C. (Securities and Exchange Commission) Documents
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.
