SEC Guides
Practical explainers for SEC filings, EDGAR, private funds and adviser records.
What Is SEC Form 8-K Current Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 8-K Current Report Explained SEO DESCRIPTION: Learn what SEC Form 8-K is, which corporate events may trigger a filing, how quickly companies report major developments, and how 8-K differs from 10-K and 10-Q. WHAT IS SEC FORM 8-K Form 8-K is a current report used by SEC reporting
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What Is Schedule 13G SEC Beneficial Ownership Filing Explained
SEC VERIFY DATA TITLE: What Is Schedule 13G SEC Beneficial Ownership Filing Explained SEO DESCRIPTION: Learn what SEC Schedule 13G is, who may use it, how the 5% beneficial ownership threshold works, and how Schedule 13G differs from Schedule 13D. WHAT IS SCHEDULE 13G Schedule 13G is an SEC beneficial ownership report
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What Is Schedule 13D SEC 5% Ownership Filing Explained
SEC VERIFY DATA TITLE: What Is Schedule 13D SEC 5% Ownership Filing Explained SEO DESCRIPTION: Learn what SEC Schedule 13D is, when a 5% beneficial owner may need to file, what information the filing reveals, and how Schedule 13D differs from Schedule 13G. WHAT IS SCHEDULE 13D Schedule 13D is an SEC beneficial ownershi
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What Is SEC Form 13F Institutional Holdings Explained
SEC VERIFY DATA TITLE: What Is SEC Form 13F Institutional Holdings Explained SEO DESCRIPTION: Learn what SEC Form 13F is, who must file it, the $100 million threshold, what holdings are disclosed, and what Form 13F cannot tell investors. WHAT IS SEC FORM 13F Form 13F is a quarterly SEC filing used by certain institutio
Read guide →What Is SEC Form PF Private Fund Reporting Explained
SEC VERIFY DATA TITLE: What Is SEC Form PF Private Fund Reporting Explained SEO DESCRIPTION: Learn what SEC Form PF is, which private fund advisers may need to file it, what information it collects, and how Form PF differs from Form ADV. WHAT IS SEC FORM PF Form PF is a confidential regulatory reporting form used by ce
Read guide →What Is SEC Form C Regulation Crowdfunding Filing Explained
SEC VERIFY DATA TITLE: What Is SEC Form C Regulation Crowdfunding Filing Explained SEO DESCRIPTION: Learn what SEC Form C is, what companies disclose in Regulation Crowdfunding offerings, and how Form C, Form C-U and Form C-TR are used. WHAT IS SEC FORM C Form C is the primary disclosure filing used by companies raisin
Read guide →What Is Regulation Crowdfunding SEC Reg CF Explained
SEC VERIFY DATA TITLE: What Is Regulation Crowdfunding SEC Reg CF Explained SEO DESCRIPTION: Learn how SEC Regulation Crowdfunding works, including the $5 million limit, Form C filings, funding portals, investor limits and resale restrictions. WHAT IS REGULATION CROWDFUNDING Regulation Crowdfunding, commonly called Reg
Read guide →What Is Regulation A Tier 1 vs Tier 2 Explained
SEC VERIFY DATA TITLE: What Is Regulation A Tier 1 vs Tier 2 Explained SEO DESCRIPTION: Learn how SEC Regulation A works, including Tier 1 and Tier 2 offering limits, Form 1-A, investor rules and how Regulation A differs from Regulation D. WHAT IS REGULATION A Regulation A is an exemption from full Securities Act regis
Read guide →What Is Regulation S SEC Offshore Offering Rules Explained
SEC VERIFY DATA TITLE: What Is Regulation S SEC Offshore Offering Rules Explained SEO DESCRIPTION: Learn what SEC Regulation S is, how offshore securities offerings work, who may rely on the exemption, and how Regulation S differs from Regulation D. WHAT IS REGULATION S Regulation S is a set of SEC rules that provides
Read guide →What Is SEC Rule 144 Restricted Securities Resale Explained
SEC VERIFY DATA TITLE: What Is SEC Rule 144 Restricted Securities Resale Explained SEO DESCRIPTION: Learn how SEC Rule 144 works, including restricted securities, holding periods, affiliate rules and when privately issued securities may be resold. WHAT IS SEC RULE 144 SEC Rule 144 provides a safe harbor that may allow
Read guide →What Are Restricted Securities SEC Private Offering Rules Explained
SEC VERIFY DATA TITLE: What Are Restricted Securities SEC Private Offering Rules Explained SEO DESCRIPTION: Learn what restricted securities are, why investors receive them in Rule 506 private offerings, and why Form D securities may not be freely resold. WHAT ARE RESTRICTED SECURITIES Restricted securities are securit
Read guide →What Is Rule 506(d) Bad Actor Disqualification
SEC VERIFY DATA TITLE: What Is Rule 506(d) Bad Actor Disqualification SEO DESCRIPTION: Learn how SEC Rule 506(d) bad actor disqualification works, who is covered, which events can affect a Rule 506 offering, and what investors should check. WHAT IS RULE 506(d) Rule 506(d) is the “bad actor” disqualification provision w
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