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Entrepreneurship Law Clinic

Securities and Exchange Commisssion Documents

Publicly traded companies must comply with the Securities & Exchange Commission’s disclosure requirements to be listed on US stock exchanges. Information must be disclosed to investors and filed with the SEC to prevent fraud and misrepresentation in the sale of securities. These filings are public, and available for free through the SEC’s Electronic Data Gathering, Analysis, and Retrieval system (EDGAR). It’s a wealth of information on public companies, as well as a place to find models for various types of documents. Tutorials and search instructions are available here.

Some of the most common types of SEC filings include: 

  • S-1: registration statement under Securities Act of 1933. Includes information about a company's business model and finances. Used by companies filing their initial public offering (IPO) to register with the SEC.
  • 10-K: annual report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
  • 10-Q: quarterly report under Section 13 or 15(d) of the Securities Exchange Act of 1934
  • 8-K: current report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934. Provides updates on significant events that occur in between the 10-K/10-Q (annual/quarterly) updates, such as bankruptcies or changes in senior leadership.