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Securities and Exchange Commission (SEC)Securities and Exchange Commission building

United States Securities and Exchange Commission (SEC)

This is the homepage of the SEC. From here you can access company filings, rules and proposed rules, and the related documents of this federal regulatory agency. "The SEC was established by the United States Congress in 1934 as an independent, quasi-judicial regulatory agency during the Great Depression that followed the Crash of 1929. The main reason for the creation of the SEC was to regulate the stock market and prevent corporate abuses relating to the offering and sale of securities and corporate reporting. The SEC was given the power to license and regulate stock exchanges, the companies whose securities traded on them, and the brokers and dealers who conducted the trading.....Quarterly and annual reports from public companies are crucial for investors to make sound decisions when investing in the capital markets. Unlike banking, investment in the capital markets is not guaranteed by the federal government. The potential for big gains needs to be weighed against equally likely losses. Mandatory disclosure of financial and other information about the issuer and the security itself gives private individuals as well as large institutions the same basic facts about the public companies they invest in, thereby increasing public scrutiny while reducing insider trading and fraud.

The SEC makes reports available to the public via the EDGAR system. SEC also offers publications on investment-related topics for public education. The same online system also takes tips and complaints from investors to help the SEC track down violators of the securities laws. SEC policy is to never comment on the existence or status of an ongoing investigation."*

"What is the U.S. Securities and Exchange Commission?"

Search the Edgar Database

"What is the Edgar Database?"

"What is a 10-K Report?"

"What kinds of SEC Reports are available?"

"What other ways can I access SEC Reports?"

SEC reports can be searched with these two library databases:

Lexis-Nexis Academic

Click on "Companies" on the blue left column, and then pick "SEC filings." This search form allows for sophisticated searching.

Mergent Online

Search for name of company, and then click on the "EDGAR" tab.  Reports can be viewed in Word, Excel or PDF formats.

*from the Wikipedia


If you have questions or are encountering problems, please contact me.

Last Update: November 11, 2013

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