Public Documents Investor Gov

Bonisiwe Shabane

-Nov 4, 2025, 11:54 PM

Forms 144 from the last 90 days filed in paper are available for public review on Wednesdays from 10am-3:30pm. Visitors are requested to contact Library@sec.gov before they come in to ensure that the materials they are looking for are available. All other records, including public comments received on rulemakings are available for review on the Commission’s website at http://www.sec.gov. Instructions for accessing, or requesting access to, all other records can be found below. If you have questions and inquiries relating to the SEC, to federal securities laws or investments, your inquiry should be submitted via this Questions and Feedback form. Click here for Fast Answers.

Information about contacting the SEC can be found here. For any complaint relating to your investment or investment professional, you can submit your complaint with our Complaint form. See our Investor Bulletin to learn more about investor complaints. The SEC database for company filings, which includes quarterly and annual reports, registration statements for IPOs and other offerings, insider trading reports, and proxy materials, can be obtained in electronic form by using the... You can learn more about using EDGAR here. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

Find registration statements, periodic reports, and other forms by typing the name or ticker symbol of a company (CIK lookup info) (confidential treatment orders) (SEC correspondence with issuers) Some specific ways to access filings based on time, type, or other categories. Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week. SEC filings (mid-1990s to present) are freely available from EDGAR (Electronic Data Gathering, Analysis and Retrieval).

Most of our resources for company financials also provide SEC filings. These include: Historical filings for companies listed on the NYSE and AMEX may be available on microfiche/microcard, available at the Lippincott Library Information Desk: You can order paper copies of SEC filings not available online or in microtext. Visit Investor.gov's Public Documents page and scroll down to How to Access or Request Records Not Accessible via SEC Website. Learn why it is a good idea to periodically check on your investment portfolio to see if any rebalancing needs to be done.

Beware of Communications Falsely Appearing to Come from the SEC If you have been contacted by the SEC, confirm that the communication is authentic by contacting SEC staff directly. Ask a question or report a problem concerning your investments, your investment account or a financial professional. Learning how scams work can help you protect your money. Be wary of investment opportunities that you didn’t seek out. Watch out for these red flags:

Eric's career includes extensive work in both public and corporate accounting with responsibilities such as preparing and reviewing federal, state, and local tax filings; supporting multinational teams on tax compliance and financial controls; managing... Publicly traded companies who have their shares listed on stock exchanges are required to file regular financial statements and disclosures with regulators, such as the Securities and Exchange Commission (SEC) in the United States. Among the most widely read of these are a company's annual report, which tells investors and analysts how the company has performed over the previous fiscal year (FY), how its businesses look going forward... In the old days, shareholders would receive the annual report by mail or through their broker. Thanks to the Internet, finding financial reports is easier and quicker than ever. Nowadays, nearly every reputable company has an easy-to-follow investor relations section on its website that is a wealth of information, including an archive of its annual reports, often going back several years.

Walt Disney Co. is an excellent example of a business that uses its website to get information out to its shareholders, analysts, and prospective investors. It is very easy to find a direct link to its investor relations section. David is comprehensively experienced in many facets of financial and legal research and publishing. As an Investopedia fact checker since 2020, he has validated over 1,100 articles on a wide range of financial and investment topics. The Securities and Exchange Commission (SEC) requires public companies, certain company insiders, and broker-dealers to file periodic financial statements and other disclosures.

Finance professionals and investors rely on SEC filings to make informed decisions when evaluating whether to invest in a company. Key forms include 10-K, 10-Q, and 8-K, and SEC filings can be accessed for free at EDGAR, the commission's online database. The SEC was created through the Securities Exchange Act of 1934, which was signed into law by President Franklin D. Roosevelt. The act was intended to help restore investor confidence following the stock market crash of 1929. The SEC is an independent government agency tasked with protecting investors, maintaining a fair and orderly market, and facilitating capital formation.

The SEC selectively reviews the information it receives to monitor and enhance compliance. Investors study these filings to form a view of a company's performance and activities. Here are some of the most common forms that companies are required to submit to the SEC. Understanding how to read SEC filings can be beneficial to investors as they perform their due diligence. In this article, we’ll discuss these filings in greater detail. Registration statements provide information about the securities being offered by a company as well as its financial condition.

A company preparing to offer securities to the public will file a Form S-1 registration statement with the SEC. The statement consists of two parts: U.S. Securities and Exchange Commission Freedom of Information Act Public Access Website The SEC uses Login.gov Identity Assurance Level 2 (IAL2) user profiles to provide requesters access to their Public Access Link (PAL). To sign in with an existing Login.gov account select Login (Top right).

To create a new Login.gov account to access PAL, click Login (top right corner) and you will be redirected to Login.gov and select "Create an Account". If your existing Login.gov account is not IAL2, you will be prompted to provide the required information to update your profile before gaining access to the PAL This portal allows members of the public to access frequently requested records, submit a FOIA request, and check the status of their outstanding request(s). The primary mission of the SEC is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. The SEC also oversees other key participants in the securities world, including stock exchanges, broker-dealers, investment advisors, mutual funds, and public utility holding companies. The Commission is principally concerned with promoting disclosure of important information, enforcing the securities laws, and protecting investors who interact with these various organizations and individuals.

The Securities and Exchange Commission (SEC) maintains public and non-public records, such as: The EDGAR database provides free public access to corporate information, allowing you to research a public company’s financial information and operations by reviewing the filings the company makes with the SEC. You can also research information provided by mutual funds (including money market funds), exchange-traded funds (ETFs), and variable annuities. In addition to this link, you have two ways of accessing EDGAR from the SEC.gov home page: Form Types EDGAR presents search results in chronological order and identifies the filings by form types, shown in the first column of the search results. For example, the form type for the annual report on Form 10-K filed by domestic public companies is “10-K.”

Filings with “/A” appended to the form type code indicate an amendment. For example, the form type “10-K/A” would indicate an amendment to a Form 10-K filing. This guide describes where you can find certain types of information in common filings by public companies, mutual funds, and ETFs. A more comprehensive list of the types of forms filed on EDGAR can be found at this forms list. The SEC provides a variety of services and tools to help people invest wisely and avoid fraud. Visit the agency's Investor.gov website, review investor alerts and bulletins, and check your investment professional.

Take time to learn what questions to ask and what preparations to make in order to be in full control of your investment decisions. The SEC issues investor alerts or bulletins as a service to investors, typically warning them about the latest investment frauds and scams or educating them about investment-related products or topics including the functions of... Provide information about an issue you may be having with your investment account or the firm/individual managing it. Submit investor-related questions, comments, or suggestions. Investing in your future means saving for retirement, college, or a rainy day fund. If you're working with an investment professional or someone is trying to sell you an investment, check them out before handing over your hard-earned money.

Public Documents Investor Gov

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