How to know about SEC Filings

SEC Filings and What Traders Need to Know

The Securities and Exchange Commission (SEC) works to make a positive impact on the USA’s economy by providing transparency in the financial activity of public corporations for public benefits.

The federal securities laws charge the SEC to even suspend trading for a ten trading days’ term if the Commission decides that it is necessary for public and investors interests

SEC trading suspending is a unique executive instrument in the world trading practice.

There are some exact cases when companies and investors can be expected to do SEC filing.

At the same time, there is a comprehensive but rather long list of the types of filing.

Registration Statements –  the document to be filed first of all to the initial public offering (IPO). It comprises the prospectus and private filings.  They contain essential data regarding the corporation.

Filing of this basic doc allows customers of the system to conduct the sec IPO filings search – finding the company in the huge database by entering the company’s name, etc.

Form 10-K –  that includes Business Summary, Risk Factors. Selected Financial Data (5 years’ period of the firm’s finances), Management’s Discussion and Analysis and Financial Statements and Supplementary Data.

Form 10-Q – a cut version of the 10-K

Form 4  – the presentation of the insider corporate ownership’s changes

Form 8k  –  filed when a key event happens after the filing of Form 10-K or 10-Q has been submitted

Schedule 13D –  details about owning large amounts of shares.

Form 144 – a specific form required to be filed if an executive or company affiliate proposes to sell shares that reach 5,000 units, or worth $50,000 in three months.

But before starting the procedure of filing take a notion about one more thing to be kept in mind for successful submission of files – SEC EDGAR filing hours – the time slots that determine deadlines and working hours for filing.

About the SEC

The SEC is a State agency taking responsibility for market security.

Actually, the SEC plays the role of mediator that collects info regarding companies and provides it to the public.  This is an instrument that helps to keep the trust of investors and public corporations.

Establishing of the SEC was a measure took by the USA Government mainly as a response to the Great Depression that broke out in 1929

The forms of SEC filing are available for public view and are stored in the EDGAR database.

Why Pay Attention to SEC Filings

SEC filing is an instrument helping investors and interested parties to get validated info necessary for trading and any investors’ activity. The data one can get via SEC filing aimed to supply with the basic facts that allow to understand performing of the corporation and to forecast its future.

But such a filing is not obligatory for private companies. They spread their reports just among stakeholders. A private company is obliged to do SEC filing in case it has more than 500 common shareholders and $10 million in assets.

For public corporations, the procedure is rather complicated. And the EDGAR filing deadlines should be followed.

How to Find SEC Filings

Use and – the official sources to get the information you need.

If a corporation has filed Registration Statements, any customer of the system can conduct the sec IPO filings search – finding the company in the huge database by entering the company’s name, etc.


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