Business Research

SEC Filings (Securities and Exchange Commission)

(SEC) regulations require companies that sell stock (public companies) file a number of financial reports with the Commission. These reports are made publicly available and provide a wealth of information such as current and historical company and other filings (10K's, 10Q's, 8K's) through Edgar (Electronic Data Gathering, Analysis and Retrieval System).

Key Reports used in Company Research:

• 10-K: An SEC filing containing more detailed financial information than annual reports; submitted to the SEC for a US publicly traded company. Available in EDGAR.
• 10-Q: Quarterly financial reports. Available in EDGAR.
• Proxy Statements: A report to stock holders issued prior to the annual meeting or a vote on significant changes to provide security holders the information needed to vote informed. You often find ownership information and salaries of company executives in these documents. Available in EDGAR (labeled as DEF 14A), and on some company websites.