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Learn About the Markets
SEC Documents You Should Know
The Securities and Exchange Commission was created in the '30s, after the 1929 crash to help protect investors. One of the requirements that the SEC instituted to help keep investors informed are the filing requirements. Here's a list of the basic SEC filing requirements and forms.
Filing Requirements
All public companies are required to file financial documents with the SEC, unless they meet certain exemptions.
Public companies can be exempted from filing the standard SEC forms if they have less than 500 stockholders and less than $10 million in total assets. Exceeding either of these criteria requires them to file.
However, non-filing companies are required to provide shareholders with financial information on request. If you own stock in a non-filing company, you can call them and ask for financial data.
All other companies must file regular reports of all kinds with the SEC. Since 1996, these filings must be made in an SGML coded format in order to be easily stored in the EDGAR database operated by the SEC. There are numerous sources on the Internet for accessing these electronic filings.
http://www.briefing.com/GeneralInfo/Investor/ToolBox/LearningCenter/edu_SEC_Documents.htm
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