Day Trading Encyclopedia

SEC Filings

What is an SEC Filing?

The U.S. Equities markets are regulated through the United States Securities and Exchange Commission (SEC). All publicly traded companies are required to file certain documents and reports that update the public on any material changes in the business as well as provide updates on the status of the business operations. These filings are what the investors scrutinize in order to assess the health and future prospects of the business operations.

How to Find SEC Filings

General summaries of SEC filings can be found on search engines  under the stock symbol. The most current and full detailed SEC filings can be found through the EDGAR database on the SEC website. You can browse some of the most common SEC Filings below.

Form 4

Form 4 is used to is used to disclose insider sales.

Form 144

Form 144 is used to disclose the proposed sale of stock by a company’s insiders.

Form 8-K

Form 8-K is used to notify investors of significant company events that affect the underlying business.

Form 10-Q

Form 10-Q is a company’s quarterly earnings report filed for the public.

Form 10-K

Form 10-K is a company’s comprehensive annual report, which contains earnings, business updates, and more.

Registration Statements

Registration statements are filed by private companies looking to go public through an IPO.