SEC filing

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Securities and Exchange Commission (SEC) logo

The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies, certain insiders, and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. Many, but not all SEC filings are available online through the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval) database.

Contents

Common filing types

The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor.

The Risk Factors contain a list of all of the potential risks that exist for the company. While the MD&A contains a narrative about the financial results of the company. This narrative is also accompanied by management's expectations for the upcoming year. [1]

Form nameDescription
F-1Registration statement for certain foreign private issuers
Form D An exempt offering of securities under Regulation D
3 Initial statement of beneficial ownership (Insider transactions)

Other filings are required with respect to offerings by private companies.

All filing types

The filings accepted by the SEC as of November 2011.

Form nameDescription
1-E, 1-E/ANotification under Regulation E by small business investment companies and business development companies (and amendment thereto)
1-E AD, 1-E AD/ASales material filed pursuant to Rule 607 under Regulation E. (and amendment thereto)
2-E, 2-E/ASales material filed pursuant to Rule 609 under Regulation E. (and amendment thereto)
10-12B, 10-12B/AInitial general form for registration of a class of securities pursuant to section 12(b) (and amendment thereto)
10-12G, 10-12G/AInitial general form for registration of a class of securities pursuant to section 12(g) (and amendment thereto)
10-D, 10-D/APeriodic distribution reports by Asset-Backed issuers pursuant to Rule 13a-17 or 15d-17 (and amendment thereto)
10-K, 10-K/AAnnual report pursuant to section 13 and 15(d) (and amendment thereto)
10-KT, 10-KT/ATransition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
10-Q, 10-Q/AQuarterly report pursuant to section 13 and 15(d) (and amendment thereto)
10-QT, 10-QT/ATransition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
11-K, 11-K/AAnnual report of employee stock purchase, savings and similar plans (and amendment thereto)
11-KT, 11-KT/ATransition report pursuant to Rule 13a-10 or 15d-10 (and amendment thereto)
13F-HR, 13F-HR/AInitial Quarterly Form 13F Holdings report filed by institutional managers (and amendment thereto)
13F-NT, 13F-NT/AInitial Quarterly Form 13F Notice Report filed by institutional managers (and amendment thereto)
13H, 13H-Q, 13H-A, 13H-I, 13H-R, 13H-TLarge Trader Registration Information Required of Large Traders Pursuant to the Securities Exchange Act of 1934 and Rule 13h-1 Thereunder. Initial Filing (13H), Amended Filing (13H-Q), Annual Filing (13H-A), Inactive Status (13H-I), Reactivated Status (13H-R), and Termination Filing (13H-T)
144, 144/AFiling for proposed sale of securities under Rule 144 (and amendment thereto)
15-12B, 15-12B/ANotice of termination of registration of a class of securities under Section 12(b) (and amendment thereto)
15-12G, 15-12G/ANotice of termination of registration of a class of securities under Section 12(g) (and amendment thereto)
15-15D, 15-15D/ANotice of suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto)
15F-12G, 15F-12G/ANotice of termination of a foreign private issuer's registration of a class of securities under Section 12(g) (and amendment thereto)
15F-15D, 15F-15D/ANotice of a foreign private issuers suspension of duty to file reports pursuant to Section 13 and 15(d) of the Act (and amendment thereto)
18-K, 18-K/AAnnual report for foreign governments (and amendment thereto)
20-F, 20-F/AAnnual and transition report of foreign private issuers pursuant to sections 13 or 15(d) (and amendment thereto)
20FR12B, 20FR12B/AForm for initial registration of a class of securities of foreign private issuers pursuant to section 12(b) (and amendment thereto)
20FR12G, 20FR12G/AForm for initial registration of a class of securities of foreign private issuers pursuant to section 12(g) (and amendment thereto)
24F-2NT, 24F-2NT/ARule 24F-2 notice filed on Form 24F-2 (and amendment thereto)
25, 25/ANotification filed by issuer to voluntarily withdraw a class of securities from listing and registration on a national securities exchange (and amendment thereto)
25-NSE, 25-NSE/ANotification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities (and amendment thereto)
3, 3/AInitial statement of beneficial ownership of securities (and amendment thereto)
305B2, 305B2/AApplication for designation of a new trustee under the Trust Indenture Act
4, 4/AStatement of changes in beneficial ownership of securities (and amendment thereto)
40-6B, 40-6B/AApplication under the Investment Company Act by an employees‟ securities company
40-17F2Initial certificate of accounting of securities and similar investments in the custody of management investment companies
40-17F2/AAmendment
40-17GFidelity bond
40-17G/AFidelity bond (Amendment)
40-202A/AFiling 40-202A/A
40-206A/AAmendment
40-24B2Filing of sales literature
40-24B2/AFiling of sales literature (Amendment)
40-33All stockholder derivative actions filed with a court against an investment company or an affiliate
40-8B25Document or Report
40-8F-2Initial application for de-registration pursuant to Investment Company Act Rule 0-2
40-APPApplications under the Investment Company Act other than those reviewed by Office of Insurance Products
40-APP/AApplications under the Investment Company Act other than those reviewed by Office of Insurance Products (Amendment)
40-FAnnual reports filed by certain Canadian issuers
40-F/AAnnual reports filed by certain Canadian issuers (Amendment)
40-OIPApplications under the Investment Company Act reviewed by Office of Insurance Products
40-OIP/AApplications under the Investment Company Act reviewed by Office of Insurance Products (Amendment)
40FR12BRegistration of a class of securities of certain Canadian issuers
40FR12B/ARegistration of a class of securities of certain Canadian issuers (Amendment)
40FR12GRegistration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act
40FR12G/ARegistration of a class of securities of certain Canadian issuers pursuant to Section 12(g) of the 1934 Act (Amendment)
424AProspectus
424B1Prospectus
424B2Prospectus
424B3Prospectus
424B4Prospectus
424B5Prospectus
424B7Prospectus
424B8Prospectus
425Filing under Securities Act of 1933 Rule 425 of certain prospectuses and communications in connection with business combination transactions
485APOSPost-effective amendment
485BPOSPost-effective amendment
485BXTPost-effective amendment
486APOSPost-effective amendment
486BPOSPost-effective amendment
487Pre-effective pricing amendment
497Definitive materials
497ADFiling by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497
497H2Filings made pursuant to Rule 497(h)(2)
497JCertification of no change in definitive materials
497K1Profiles for certain open-end management investment companies
497K2Profiles for certain open-end management investment companies
497K3AProfiles for certain open-end management investment companies
497K3BProfiles for certain open-end management investment companies
5Insider Trading (Form 5)
5/AInsider Trading (Form 5) Amendment
6-KCurrent report of foreign issuer
6-K/ACurrent report of foreign issuer (Amendment)
8-A12BRegistration of a class of securities on a national securities exchange
8-A12B/ARegistration of a class of securities on a national securities exchange (Amendment)
8-A12GNotification that a class of securities of successor issuer is deemed to be registered
8-A12G/ANotification that a class of securities of successor issuer is deemed to be registered (Amendment)
8-KEvents or Changes Between Quarterly Reports
8-K/AEvents or Changes Between Quarterly Reports (Amendment)
8-K12BNotification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b)
8-K12B/ANotification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(b) (Amendment)
8-K12G3Notification that a class of securities of successor issuer is deemed to be registered pursuant to Section 12(g)
8-K12G3/A
8-K15D5Notification of assumption of duty to report by successor
8-M8-M Filing
9-M9-M Filing
ADN-MTLADN-MTL Filing
ADV-EADV-E Filing
ADV-H-C
ADV-H-T
ADV-NRADV-NR Filing
ANNLRPTPeriodic Development Bank filing, submitted annually
APP WDAPP WD Filing
ARSAnnual Report to Security Holders
ARS/AAnnual Report to Security Holders (Amendment)
AWWithdrawal of amendment to a registration statement filed under the Securities Act
AW WDWithdrawal of a request for withdrawal of an amendment to a registration statement
CBCertain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons
CB/ACertain tender offers, business combinations and rights offerings, in which the subject company is a foreign private issuer of which less than 10% of its securities are held by U.S. persons (Amendment)
CERTAMXFiling CERTAMX
CERTNASFiling CERTNAS
CERTNYSFiling CERTNYS
CERTPACFiling CERTPAC
CORRESPCorrespondence
CT ORDERConfidential Treatment Order.
D Filing D
D/AFiling D (Amendment)
DEF 14A Definitive proxy statements
DEF 14CDefinitive information statements
DEFA14CDefinitive additional information statement materials including Rule 14(a)(12) material
DEFC14ADefinitive proxy statement in connection with contested solicitations
DEFC14CDefinitive information statement - contested solicitations
DEFM14ADefinitive proxy statement relating to merger or acquisition
DEFM14CDefinitive information statement relating to merger or acquisition
DEFN14ADefinitive proxy statement filed by non management
DEFR14ADefinitive revised proxy soliciting materials
DEFR14CDefinitive revised information statement materials
DEL AMSeparately filed delaying amendment
DFAN14ADefinitive additional proxy soliciting materials filed by non-management
DFRN14ARevised definitive proxy statement filed by non-management
DSTRBRPTDistribution of primary obligations Development Bank report
EFFECTFiling EFFECT
F-1Registration statement for securities of certain foreign private issuers
F-1/ARegistration statement for securities of certain foreign private issuers (Amendment)
F-10Registration statement for securities of certain Canadian issuers
F-10/ARegistration statement for securities of certain Canadian issuers (Amendment)
F-10EFAuto effective registration statement for securities of certain Canadian issuer under the Securities Act of 1933
F-10POSPost-effective amendment to a F-10EF registration
F-1MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form F-1
F-3Registration statement for specified transactions by certain foreign private issuers
F-3/ARegistration statement for specified transactions by certain foreign private issuers (Amendment)
F-3ASRAutomatic shelf registration statement of securities of well-known seasoned issuers
F-3DRegistration statement for dividend or interest reinvestment plan securities of foreign private issuers
F-3DPOSPost-Effective amendment to a F-3D registration
F-4 Registration statement for securities issued by foreign private issuers in certain business combination transactions
F-4 POSPost-effective amendment to a F-4EF registration
F-4/ARegistration statement for securities issued by foreign private issuers in certain business combination transactions (Amendment)
F-6Registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-6 POSPost-effective amendment to a F-6EF registration
F-6/ARegistration statement for American Depositary Receipts representing securities of certain foreign private issuers (Amendment)
F-6EFAuto effective registration statement for American Depositary Receipts representing securities of certain foreign private issuers
F-7Registration statement for securities of certain Canadian issuers offered for cash upon the exercise of rights granted to existing security holders
F-7 POSPost-effective amendment to a F-7 registration
F-7/AAmendment
F-8Registration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination
F-8/ARegistration statement for securities of certain Canadian issuers to be issued in exchange offers or a business combination (Amendment)
F-80Registration of securities of certain Canadian issuers to be issued in exchange offers or a business combination under the Securities Act of 1933
F-9Registration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers
F-9/ARegistration of securities of certain investment grade debt or investment grade preferred securities of certain Canadian issuers (Amendment)
F-NNotification of the appointment of an agent for service by certain foreign institutions
F-XFor appointment of agent for service of process by issuers registering securities
F-X/AFor appointment of agent for service of process by issuers registering securities (Amendment)
FOCUSNFOCUSN Filing
FOCUSN/AFOCUSN Filing (Amendment)
FWPFiling under Securities Act Rules 163/433 of free writing prospectuses
G-405G-405 Filing
G-405N
G-FING-FIN Filing
G-FIN/AG-FIN/A Filing (Amendment)
MSD
MSD/AMSD/A Filing (Amendment)
MSDWMSDW Filing
N-14Initial registration statement for open-end investment company
N-14 8CInitial registration statement filed on Form N14 by closed-end investment company (business combinations)
N-14 8C/AInitial registration statement filed on Form N14 by closed-end investment company (business combinations) Amendment
N-14/AInitial registration statement for open-end investment company (Amendment)
N-14AEFiling N-14AE
N-14AE/AN-14AE (Amendment)
N-18F1Initial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1
N-18F1/AInitial notification of election pursuant to Rule 18f-1 filed on Form N-18F-1 (Amendment)
N-1AInitial registration statement for open-end management investment companies
N-1A/AInitial registration statement for open-end management investment companies
N-2Initial filing of a registration statement on Form N-2 for closed-end investment companies
N-2/AInitial filing of a registration statement on Form N-2 for closed-end investment companies (Amendment)
N-23C-2Notice by closed-end investment companies of intention to call or redeem their own securities
N-23C-2/ANotice by closed-end investment companies of intention to call or redeem their own securities (Amendment)
N-23C3ANotification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only
N-23C3A/ANotification of periodic repurchase offer Filed pursuant to Rule 23c-3(b) only (Amendment)
N-23C3BFiling N-23C3B
N-23C3C
N-23C3C/AFiling N-23C3C/A
N-2MEF
N-3Initial registration statement on Form N-3 for separate accounts (management investment companies)
N-30B-2Periodic and interim reports mailed to investment company shareholders
N-30DInitial annual and semi-annual reports mailed to investment company shareholders
N-30D/AAmendment
N-4Initial registration statement on Form N-4 for separate accounts (unit investment trusts)
N-4/AInitial registration statement on Form N-4 for separate accounts (unit investment trusts) Amendment
N-54ANotification of election by business development companies
N-54CNotification of election by business development companies
N-54C/ANotification of election by business development companies (Amendment)
N-6Registration statement for separate accounts
N-6/ARegistration statement for separate accounts (Amendment)
N-6FNotice of intent by business development companies to elect to be subject to Sections 55 through 65 of the 1940 Act filed on Form N-6F
N-8AInitial notification of registration under section 8(a) filed on Form N-8A
N-8A/AInitial notification of registration under section 8(a) filed on Form N-8A (Amendment)
N-8B-2Initial registration statement for unit investment trusts
N-8B-2/AInitial registration statement for unit investment trusts
N-8FApplication for deregistration made on Form N-8F
N-8F/AApplication for deregistration made on Form N-8F (Amendment)
N-CSRCertified annual shareholder report of registered management investment companies
N-CSR/ACertified annual shareholder report of registered management investment companies (Amendment)
N-CSRSCertified semi-annual shareholder report of registered management investment companies
N-CSRS/ACertified semi-annual shareholder report of registered management investment companies (Amendment)
N-MFPMonthly Schedule Of Portfolio Holdings Of Money Market Funds
N-PXAnnual Report of Proxy Voting Record of Registered Management Investment Companies
N-PX/AAnnual Report of Proxy Voting Record of Registered Management Investment Companies
N-QQuarterly Schedule of Portfolio Holdings of Registered Management Investment Company
N-Q/AQuarterly Schedule of Portfolio Holdings of Registered Management Investment Company
NO ACTNO ACT Filing
NSAR-ASemi-annual report for management companies
NSAR-A/ASemi-annual report for management companies (Amendment)
NSAR-AT
NSAR-BAnnual report for management companies
NSAR-B/AAnnual report for management companies (Amendment)
NSAR-BTTransitional annual report filed on Form NSAR
NSAR-BT/A
NSAR-UAnnual report for unit investment trusts
NSAR-U/AAnnual report for unit investment trusts (Amendment)
NT 10-KNotice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT
NT 10-K/ANotice under Rule 12b25 of inability to timely file all or part of a Form 10-K, 10-KSB, or 10KT (Amendment)
NT 10-QNotice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB
NT 10-Q/ANotice under Rule 12b25 of inability to timely file all or part of a form 10-Q or 10-QSB (Amendment)
NT 11-KNotice under Rule 12b25 of inability to timely file all or part of a form 11-K
NT 15D2
NT 20-FNotice under Rule 12b25 of inability to timely file all or part of an annual report of form 20-F
NT 20-F/A
NT-NCSRNotice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report)
NT-NCSR/ANotice under Exchange Act Rule 12b-25 of inability to timely file Form N-CSR (annual or semi-annual report) Amendment
NT-NSARNotice under Exchange Act Rule 12b-25 of inability to timely file Form N-SAR
NT-NSAR/A
NTFNCSR
NTFNSAR
NTN 10KFiling NTN 10K
NTN 10QFiling NTN 10Q
NTN 20FFiling NTN 20F
POS 8CPost-effective amendment by closed-end investment companies
POS AMPost-effective amendment to a registration statement that is not immediately effective upon filing
POS AMIPost-effective amendment
POS EXPost-effective amendment filed solely to add exhibits to a registration statement
POS462BPost-effective amendment to Securities Act Rule 462(b) registration statement
POS462CPost-effective amendment to a registration statement filed under Rule 462(c)
POSASRPost-effective amendment to an automatic shelf registration statement on Form S-3ASR or Form F-3ASR
PRE 14APreliminary proxy statement not related to a contested matter or merger/acquisition
PRE 14CPreliminary information statement not related to a contested matter or merger/acquisition
PREC14APreliminary proxy statement in connection with contested solicitations
PREC14CPreliminary information statements - contested solicitations
PREM14APreliminary proxy statements relating to merger or acquisition
PREM14CPreliminary information statements relating to merger or acquisition
PREN14APreliminary proxy statement filed by non-management
PRER14APreliminary revised proxy soliciting materials
PRER14CPreliminary revised information statements
PRRN14ARevised preliminary proxy statement filed by non-management
PX14A6GNotice of exempt solicitation
PX14A6N
QRTLYRPTPeriodic Development Bank filing, submitted quarterly
REG-NRREG-NR Filing
REGDEXRegulation D Exemption Filing
REGDEX/AREGDEX Filing (Amendment)
RWRegistration Withdrawal Request
RW WDWithdrawal of a Registration Withdrawal Request
S-1 IPO Registration
S-1/AIPO Registration (Amendment)
S-11Registration statement for securities to be issued by real estate companies
S-11/ARegistration statement for securities to be issued by real estate companies (Amendment)
S-11MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 11
S-1MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 1
S-3Registration statement for specified transactions by certain issuers
S-3/ARegistration statement for specified transactions by certain issuers (Amendment)
S-3ASRAutomatic shelf registration statement of securities of well-known seasoned issuers
S-3DAutomatically effective registration statement for securities issued pursuant to dividend or interest reinvestment plans
S-3DPOSPost-effective amendment to a S-3D registration statement
S-3MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S 3
S-4Registration of securities issued in business combination transactions
S-4 POSPost-effective amendment to a S-4EF registration statement
S-4/ARegistration of securities issued in business combination transactions (Amendment)
S-4EF
S-4EF/A
S-4MEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form S-4
S-6Initial registration statement filed on Form S-6 for unit investment trusts
S-6/AInitial registration statement filed on Form S-6 for unit investment trusts (Amendment)
S-8Initial registration statement for securities to be offered to employees pursuant to employee benefit plans
S-8 POSPost-effective amendment to a S-8 registration statement
S-BRegistration statement for securities of foreign governments and subdivisions
S-B/ARegistration statement for securities of foreign governments and subdivisions (Amendment)
S-BMEFA new registration statement filed under Rule 462(b) to add securities to a prior related effective registration statement filed on Form SB-1
SB-1
SB-1/A
SB-2
SB-2/A
SB-2MEF
SC 13DSchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities
SC 13D/ASchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities (Amendment)
SC 13E3Schedule filed to report going private transactions
SC 13E3/ASchedule filed to report going private transactions (Amendment)
SC 13GSchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions
SC 13G/ASchedule filed to report acquisition of beneficial ownership of more than 5% of a class of equity securities by passive investors and certain institutions (Amendment)
SC 14D9Tender offer solicitation/recommendation statements filed under Rule 14d-9
SC 14D9/ATender offer solicitation/recommendation statements filed under Rule 14d-9 (Amendment)
SC 14F1Statement regarding change in majority of directors pursuant to Rule 14f-1
SC 14F1/AStatement regarding change in majority of directors pursuant to Rule 14f-1 (Amendment)
SC TO-CWritten communication relating to an issuer or third party tender offer
SC TO-IIssuer tender offer statement
SC TO-I/AIssuer tender offer statement (Amendment)
SC TO-TThird party tender offer statement
SC TO-T/AThird party tender offer statement (Amendment)
SC13E4FIssuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers
SC13E4F/AIssuer tender offer statement filed pursuant to Rule 13(e)(4) by foreign issuers (Amendment)
SC14D1FThird party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers
SC14D1F/AThird party tender offer statement filed pursuant to Rule 14d-1(b) by foreign issuers (Amendment)
SC14D9CWritten communication by the subject company relating to a third party tender offer
SC14D9F
SC14D9F/A
SESE Filing
SP 15D2
SUPPLVoluntary supplemental material filed pursuant to Section 11(a) of the Securities Act of 1933 by foreign issuers
T-3Initial application for qualification of trust indentures
T-3/AInitial application for qualification of trust indentures (Amendment)
TA-1Application for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934
TA-1/AApplication for registration as a transfer agent filed pursuant to the Securities Exchange Act of 1934 (Amendment)
TA-2Annual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934
TA-2/AAnnual report of transfer agent activities filed pursuant to the Securities Exchange Act of 1934 (Amendment)
TA-WNotice of withdrawal from registration as transfer agent filed pursuant to the Securities Exchange Act of 1934
TTWTTW Filing
UNDER
UPLOADUPLOAD Filing
WDL-REQWDL-REQ Filing
X-17A-5X-17A-5 Filing
X-17A-5/AX-17A-5/A Filing

See also

Form suffixes

SuffixDescription
SBSmall Business Filing (i.e. a Form 10K becomes a Form 10K/SB)
AAmendment to a Previous Filing (i.e. Schedule 13D becomes Schedule 13D/A)
TTransitional - when changing fiscal year (i.e. 10K becomes 10KT)

Finding forms

All forms are filed with the SEC, and many can be found for free in the SEC's EDGAR database. [2] There are also several other portals that specialize in sorting information found in individual forms, such as the financial search engine, AlphaSense.

Forms which are not found in EDGAR include the Form PF, which is used for private funds and is kept confidential per the Dodd–Frank Act. [3]

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An earnings call is a teleconference, or webcast, in which a public company discusses the financial results of a reporting period. The name comes from earnings per share (EPS), the bottom line number in the income statement divided by the number of shares outstanding. The US-based National Investor Relations Institute (NIRI) says that 92% of companies represented by their members conduct earnings calls and that virtually all of these are webcast. Transcripts of calls may be made available either by the company or a third party.

Form 8-K is a very broad form used to notify investors in United States public companies of specified events that may be important to shareholders or the United States Securities and Exchange Commission. This is one of the most common types of forms filed with the SEC. After a significant event like bankruptcy or departure of a CEO, a public company generally must file a Current Report on Form 8-K within four business days to provide an update to previously filed quarterly reports on Form 10-Q and/or Annual Reports on Form 10-K. Form 8-K is required to be filed by public companies with the SEC pursuant to the Securities Exchange Act of 1934, as amended.

Form 4 is a United States SEC filing that relates to insider trading. Every director, officer and owner of more than 10% of a class of equity securities registered under Section 12 of the Securities Exchange Act of 1934 must file with the United States Securities and Exchange Commission a statement of ownership regarding such security. The initial filing is on Form 3 and changes are reported on Form 4. The annual statement of beneficial ownership of securities is on Form 5. The forms contain information on the reporting person's relationship to the company and on purchases and sales of such equity securities.

Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering. Investors may use the prospectus to consider the merits of an offering and make educated investment decisions. A prospectus is one of the main documents used by an investor to research a company prior to an initial public offering (IPO). Other less detailed registration forms, such as Form S-3 may be used for certain registrations.

Schedule 13D is an SEC filing that must be submitted to the US Securities and Exchange Commission within 10 days by anyone who acquires beneficial ownership of more than 5% of any class of publicly traded securities in a public company. A filer must promptly update the Schedule 13D filing to reflect any material change in the facts disclosed, including, among other things, the acquisition or disposition of 1% or more of the class of securities that are the subject of the filing.

Form 6K is an SEC filing submitted to the U.S. Securities and Exchange Commission used by certain foreign private issuers to provide information that is:

Form 10-K405 is an SEC filing to the US Securities and Exchange Commission (SEC) that indicates that an officer or director of a public company failed to file a Form 4 on time, in violation of Section 16 - meaning that they did not disclose their insider trading activities within the required time period.

The uniform net capital rule is a rule created by the U.S. Securities and Exchange Commission ("SEC") in 1975 to regulate directly the ability of broker-dealers to meet their financial obligations to customers and other creditors. Broker-dealers are companies that trade securities for customers and for their own accounts.

Camelot Entertainment Group, Inc. ("CMGR"), is a public company based in Irvine, California with three subsidiaries: Camelot Films, Camelot Distribution Group, including DarKnight Pictures, and Camelot Studio Group. Camelot is in the process of rebuilding its production and distribution subsidiaries as it continues to work on its Studio Group developments. As of March 1, 2018, Camelot is working toward filing a new S-1 Registration Statement in order to regain its fully reporting status and resume trading. The company has not traded since July 23, 2013, when it was unable to complete its annual and quarterly filing requirements due to lack of funding. In the interim, the company has divested itself of most of the titles it was representing for distribution as part of an overall restructuring. In addition to divesting the film library acquired in 2010, the company has now worked through most of the prior legal issues that arose from the acquisition of the library and is now in a position to move forward with its S-1 Registration. Going forward, Camelot will focus on acquiring and producing content through its Camelot Films subsidiary, direct to consumer ("DTC") digital distribution domestically as it rebuilds its foreign sales operations through its Camelot Distribution Group subsidiary, and the launch of its long planned Camelot Studio Group facility.

Regulation S-K is a prescribed regulation under the US Securities Act of 1933 that lays out reporting requirements for various SEC filings used by public companies. Companies are also often called issuers, filers or registrants.

Regulation S-X is a prescribed regulation in the United States of America that lays out the specific form and content of financial reports, specifically the financial statements of public companies. It is cited as 17 C.F.R. Part 210; the name of the part is "Form and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975".

References

  1. "The Sections Of The 10-Q And 10-K - Public Company Community". Public Company Community. 2018-04-06. Retrieved 2018-04-24.
  2. EDGAR database
  3. Memorandum: SEC Adopts Form PF.