SEC Filings

What are Security and Exchange Commission (SEC) filings?   

SEC filings are the mandatory financial and business reports that public and private companies submit to the U.S. Securities and Exchange Commission (SEC) as a part of their operating practices. 

These filings provide important information about a company's financial performance, operations, and governance, allowing investors, regulators, and the public to make informed decisions about the company's securities.  

What is the purpose of SEC filings?  

SEC filings primarily serve to ensure transparency and accountability in financial markets. By requiring companies to share information to the public, the SEC aims to protect investors from manipulation, promoting fair markets.  

The information disclosed through SEC filings also allows investors to assess the financial outlook and performance of a company before making investment decisions.  

Types of SEC filings 

There are various types of SEC filings, depending on the size, business activities, and regulatory requirements of the company. Some of the most common types of SEC filings include: 

• Form 10-K: An annual report that showcases a comprehensive overview of a company's financial performance, including audited financial statements, management discussion and analysis (MD&A), and information about the company's business outlook and risks.
• Form 10-Q: A quarterly report that includes unaudited financial statements and crucial business developments for the preceding three-months.
• Form 8-K: Reports major events or material corporate changes that are pertinent to investors, such as mergers and acquisitions, executive changes, and major contracts.
• Form 4: Filed by company insiders, such as officers, directors, and large shareholders, to report their transactions in the company's securities.
• Form S-1: Filed when a company plans to go public and issue new securities, such as an initial public offering (IPO).  

How to access and use SEC filings  

SEC filings are publicly available and can be accessed through the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system or through specialized databases, like Nexis^® Research Solutions. 

Investors, analysts, journalists, and other stakeholders consult these filings to gain insights into a company's financial performance, corporate governance practices, and overall business practices. 

How LexisNexis helps support SEC filing research  

LexisNexis offers comprehensive research solutions that enable users to access, analyze, and monitor SEC filings efficiently. With Nexis^® Research Solutions and other research tools, users can receive real-time updates on SEC filings, track changes in company disclosures, and gain valuable insights into the financial markets.  

Whether conducting due diligence, monitoring competitors, or staying informed about market trends, LexisNexis provides the resources needed to make well-informed investment and business decisions based on SEC filings data. 

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