August 19, 2018

How To Find SEC Filings

All public companies, American and internationally-owned, have been required to submit their annual reports to the Securities and Exchange Commission (SEC) since 1934. These are called SEC filings and they are done to help investors and stockholders keep up with what’s going on in a company.

Sec Filings

The reports that are required by the SEC must contain detailed information about the solvency and financial position. This information should include year-to-date revenue, recent company events and up-to-date contact details.

The advantage of looking up SEC filings rather than checking a company’s annual report is that they are often edited to make the important details difficult to find. The results of a company’s performance can be smoothed over. SEC filings present the details in a more cut-and-dry style.

All these details are collected through an automated system called EDGAR, which stands for Electronic Data Gathering, Analysis and Retrieval. This system collects and validates details which are then accessible through the SEC website. There is also an EDGAR tutorial available if you are interested in understanding how this system works.

These SEC filings are available free for publicly listed companies. They can be accessed online through the SEC’s website by clicking on the ‘SEC Forms List link’. Once you have selected this link you will be connected with a library of forms containing the various information you’re looking for. Locate the details that you need then head back to the SEC homepage.

Now you are in the right place to look up SEC filings for individual companies. You will find a link called “Companies and Other Filers”. If you are looking for the most recent filings choose “Latest Filings”. These details are generally available for the last financial year.

On the “Companies and Other Filers” page you will be able to look into particular companies that you are interested in. Choose the ‘Find Companies’ link to enter the name of the company that you want to research. If you are interested in more than just the most recent filings click on the ‘CIK’ number beside the company’s name to get all of the company’s filings.

A lot of details are filed by companies and it can be difficult to find the exact information you’re looking for. To avoid wasting time trawling through tons of information you can limit the field of your search results. Look for the ‘Form Type’ option, that will let you enter the date of the filing you need. From there you can decide to ‘Retrieve All Filings’ and ‘Retrieve Selected Filings’. Choose according to your needs.

Now that you have located the specific SEC filings that you are looking for you can choose the manor that you would like to save them as. You can download them onto your computer or print them out as either html or text documents.

Checking a company’s SEC filings before investing can provide valuable information to inform your decision making process. The simplest way to get access to these filings is to check them up on the SEC website.

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SEC Filing – Corporate SEC Filing Requirements

In 1934 the Securities and Exchange Commission which is also called the SEC was given birth. This commission requires companies i. E public companies in America to file a number of financial reports required under the Corporate SEC filing Requirements.

Sec Filing

This was allowed by the Securities Exchange Act, sections 4 with the aim of regulating the securities industry, enforcing federal securities laws and also protecting investors/business entrepreneurs. Laws such as the Securities Act of 1933, the Investment company act of 1940 are just a few that were enforced under the Securities Exchange Commission.

Another important rule apart from filing these reports with SEC public companies there is also a requirement to ensure that these reports and information supporting it are available to the public. This information can be used by investors to make their decisions on whether or not to invest in a company or not.

There are quite a number of Securities Exchange Filing Types and these include S-1, F-1, 4, POS AM, 20-F. Information in this report includes proposal on the sale of securities, quarterly reports, transfer of ownership, annual reports and management.

You can find more information about the Securities and Exchange Commission and the laws that governs it online and even in your public library. If you are a growing business and you want to implement sound environmental policies in the aim of increasing your competitiveness, then adhering to these SEC laws are important.

No longer are companies that directly impacts upon the environment such as heavy manufacturing are concerned about the environmental laws. There are many investors and even stakeholders who are concerned about the Corporate Sustainability of the company. Companies in the private and public sector together with many government agencies are now considering their impact on the environment and improving their corporate sustainability.

As with the law companies must now engage and enforce the rules relating to employment, governance and safety, they must also develop policies on how best to tackle their social responsibility to the environment rather than only their legal and economic responsibility. A company sees this as a tool to move their business forward as stakeholders then to support these companies more.

When America got its last President – Barrack Obama, he signed an executive order called the Federal Leadership in Environmental, Economic and Energy Performance. This now made it a requirement that all federal agencies to monitor their GHG emissions within the limits set by the year 2020.

He also developed a plan that encompasses a number of objectives to help in improving the sustainability of companies. Therefore areas such as increasing water efficiency and energy efficiency, decreasing fleet petroleum consumption and support for a sustainable community were part of this executive order. There were other limits set to help reduce the fleet of gasoline used by thirty percent and increasing the water efficiency. This resulted in each agency to assign a sustainability officer to be responsible for its compliance and they can channel these reports to the President especially if they are not complied with.

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SEC – An Overview Of The Securities And Exchange Commission

SEC – An Overview Of The Securities And Exchange Commission

The United States Securities and Exchange Commission or SEC was established by congress in 1934 to enforce the new securities laws passed in 1933; promote stability in the stock markets and exchanges and to protect the investors from unscrupulous trading practices.


The SEC was created in part due to the reasons behind the “Black Friday” that day in 1929 when the stock market crashed and took America into the “Great Depression.” Although long before the crash there were proposals before congress to enact laws that would force companies to full financial disclosure in an effort to prevent the sales of any fraudulent stocks, there was little support to allow any federal regulation within the securities markets. This was especially true during the prosperous days just after World War I.

Just after World War I, Americans went through a very prosperous stage. At this time 20 million people decided to try their luck at investing in the stock market. Tempted with easy credit and stories of “rags to riches” many investors did not consider the risks from unreliable information about the stocks they were considering investing in and the widespread abuses in margin financing. It is estimated that at least one-half of the $50 billion new securities offered for trade at that time became worthless.

After October of 1929 when the great stock market crash occurred, congress set up hearings to try and discover exactly what had happened and to find a way to restore the public’s faith in the stock market.

To that end there were several laws enacted under the titles Securities Act and Securities Exchange Act, which was responsible for the creation of the Security Exchange Commission. The laws and the SEC were designed to restore the faith of the investors in the system and boiled down to basic common sense read:

Any companies that are publicly offering securities for investment monies must disclose the full truth about the business, the securities to be traded and risk associated with investing in those securities.

Any person who sells or trades securities including dealers, brokers, and the exchanges must practice fair and honest trading by putting investors first.

In 1934, President Franklin Delano Roosevelt appointed Joseph P. Kennedy as the first Chairman of the Security Exchange Commission to enforce the new laws.

Today the SEC consists of 5 Commissioners who are appointed by the President and serve staggered 5 year terms. To ensure a standard of non partisanship, no more than three of these presidentially appointed officers may be members of the same political party. The agency is divided into five Divisions and 16 Offices to handle the many functional responsibilities of the SEC.

The current responsibilities of the SEC include:

The interpretation of federal securities laws

To oversee the inspections of brokers, investment advisers, securities firms, and ratings agencies

To oversee the private regulatory sectors in the securities auditing and accounting fields

To coordinate the United States securities regulations with the state, foreign and federal authorities.

The world of investing can be fascinating, complex and rewarding. But there are no guarantees.

The SEC is in place to ensure that all investors whether private or corporate should have access to some basic information about any investment prior to making that investment to ensure the accurate knowledge needed to make an informed choice.

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What Is The Edgar SEC Database?

The Edgar SEC database is the abbreviated name for the Electronic Data Gathering, Analysis and Retrieval system database and it is something which is free for the public to search on the internet. It is a system which automatically files various pieces of information that is linked to what members of the public submit to the United States Securities and Exchange Commission which forms the sec section of the name.

Edgar Sec

It validates, indexes and collates the forms which companies and other people have to fill in by law for the SEC. The sheer size of the database which can be searched by anyone can be shown by the fact that it handles over three thousand additions each and every day from companies all over the country.

The reason why the database was created is that it allows other companies and potential investors to really look into the companies that they are either already dealing with or hoping to do business with. It should be added though that not every form from every company is actually on the database however the majority from 1996 are included.

Most people are now able to submit forms electronically which does help in increasing what is on the database. However it is not just US companies that can and do submit information on it as you are also going to find forms from companies abroad but who deal with the US with their business.

So when it comes to the reasons why it is used it can be summarized as being like a one stop shop for people to get some extra information about various companies in the country. It can include financial information which of course is very useful if you are looking at investing in someone no matter what scale that may be there is even an in depth guide for investors to teach them how to get the most out of this database.

If you are going to use it then there are two websites that can really help you depending on what you are wanting to do. If you would like to submit information to it then there is a website set up especially to help you with this whereas if you would like to search it then there is an alternative website with both able to be found on the official SEC website.

For the normal person searching the website you can obtain a lot of information by just searching for a company by its name. This only takes a minute and you are then left with various pieces of information about them such as obviously their location as well as all of their filings over the last four years. It can even tell you about their insurance products which again can be very useful for certain people or companies.

However you can also have customised searches carried out should you be looking for certain pieces of information. With this kind of thing you are best to contact the SEC by yourself and talk to them about what you are looking for and they can guide you through the entire process.

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How To Use The Sec.Gov Website And What To Use

Anyone who has any dealings with the stock market or securities market in any way should understand and use the wealth of tools and information available at SEC. Gov is the main website for the United States Securities Exchange Commission and offers information you really cannot find anywhere else.


The website and its massive amounts of information is open and free to the public and should be the very first place new investors go to learn all they need to know about investing including information on advisers and brokers, financial and other information about the companies they are considering investing in as well as complaints about any companies.

The SEC or Securities Exchange Commission is a federally run and funded investigative and regulatory agency that was created in 1934 to protect investors from unscrupulous business dealings in the securities markets, the types of dealings that caused the stock market to crash in 1929.

To do this job the SEC creates laws and regulations that maintain orderly, fair and efficient markets and collects the information needed for investors to make wise and sound investment choices.

By law companies who are open to purchase via securities markets must fully and truthfully disclose certain data about themselves including ownership, financial data and much more.

The SEC website offers the EDGAR data base to free and public inspection. That means basically you can find a wealth of information about any company you may be considering investing in. While EDGAR may take a few minutes to learn to use the data it provides is absolutely invaluable for anyone who is interested in the stock markets.

The SEC website also maintains advise on financial things of interest such as the national DO Not Call List and PAUSE which is the Public Alert Unregistered Soliciting Entities list. The DNCL stops solicitors from cold calling your home and the PAUSE list tells you what companies in particular may be up to no good.

Another useful tool to be found here is the website link. is a site run by the SEC to help investors like you learn tips on how to invest wisely and how to avoid fraud of all types.

For those who need to report a violation of the Securities Exchange laws you may even register a complaint or a tip anonymously with the file complaint link.

Also within the SEC website you will find publications explaining every financial matter you can think of is clear easy to understand language. Interested in understanding such subjects as the ins and outs of Mutual Funds, Certificates of Deposits, Hedge Funds or anything else pertaining to finances? Simply click the link marked publications under investor information on the home page.

The website offers a host of information for both those who are new to the world of investing and finance and those who are experience professionals. Even those who are not interested in investing in securities can find financial information to help them live a better life with a brighter financial future.

For those who are interested in taking the plunge into the stock market the SEC website should not only be your first stop for research but should also be included in your browser as a favorite.

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