What Is A SEC Document?

What are SEC filing requirements?

SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis.

These reports require much of the same information about the company as is required in a registration statement for a public offering..

What SEC form is a prospectus?

SEC Filings Form S-1 Form S-1 is an initial registration form that companies must issue to investors the first time they go public. It is also known as a prospectus. … The form is critical because there is little public information for companies in the initial stages of going public.

What is SEC Form 4 used for?

What Is SEC Form 4: Statement of Changes in Beneficial Ownership? SEC Form 4: Statement of Changes in Beneficial Ownership is a document that must be filed with the Securities and Exchange Commission (SEC) whenever there is a material change in the holdings of company insiders.

How does the SEC find insider trading?

SEC Tracking Market surveillance activities: This is one of the most important ways of identifying insider trading. The SEC uses sophisticated tools to detect illegal insider trading, especially around the time of important events such as earnings reports and key corporate developments.

Do I need to register with the SEC?

Under the federal securities laws, every offer and sale of securities, even if to just one person, must either be registered with the SEC or conducted under an exemption from registration.

What is SEC of an angle?

In a right angled triangle, the secant of an angle is: The length of the hypotenuse divided by the length of the adjacent side. The abbreviation is sec. sec(θ) = hypotenuse / adjacent. It is not commonly used, and is equal to 1/cosine.

Do private companies need to file with the SEC?

A private company must file financial reports with the SEC when it has more than 500 common shareholders and $10 million in assets, as set by the Securities and Exchange Act of 1934. … After the company files Form 10, the SEC requires it to file quarterly and annual reports.

What is SEC Edgar database?

EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, is the primary system for companies and others submitting documents under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of 1940.

What is SEC mean?

U.S. Securities and Exchange CommissionThe U.S. Securities and Exchange Commission (SEC) is an independent federal government regulatory agency responsible for protecting investors, maintaining fair and orderly functioning of the securities markets, and facilitating capital formation.

What are the functions of SEC?

The U. S. Securities and Exchange Commission (SEC) has a three-part mission: Protect investors. Maintain fair, orderly, and efficient markets. Facilitate capital formation.

Who must file a 10 K?

10-K Filing Deadlines According to the SEC, companies with a public float—shares issued to the public that are available to trade—of $700 million or more must file their 10-K within 60 days after the end of their fiscal year.

What is insider trading SEC?

Jan. 15, 2013. Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship of trust and confidence, on the basis of material, nonpublic information about the security.

What is a 8 K filing?

An 8-K is a report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or the Securities and Exchange Commission (SEC).

What does SEC filing mean?

U.S. Securities and Exchange CommissionThe 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-dealers are required to make regular SEC filings.

Is SEC a word?

Word forms: secs Sec. is a written abbreviation for second1 or seconds.

Who does SEC report to?

The U.S. Securities and Exchange Commission (SEC) is a large independent agency of the United States federal government that was created following the stock market crash in the 1920s to protect investors and the national banking system.

What is SEC Form 3 used for?

Form 3 is a document that a company insider or major shareholder must file with the SEC. The information provided on the form is meant to disclose the holdings of directors, officers, and beneficial owners of registered companies and becomes public record.