SEC Guides
Practical explainers for SEC filings, EDGAR, private funds and adviser records.
Form 25-NSE Explained: Exchange Removal of Securities From Listing and Registration
Form 25-NSE is an SEC filing used by a national securities exchange when it removes a security from listing and registration. It is closely related to delisting, but the key point is that the filing is made by the exchange, not simply by the issuer. Investors may see Form 25-NSE when a company’s securities are being re
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How to Find a Company’s Registration Statement in SEC EDGAR
TITLE: How to Find a Company’s Registration Statement in SEC EDGAR SEO DESCRIPTION: Learn how to find company registration statements in SEC EDGAR, including Form S-1, F-1, S-3, F-3, S-4, S-8, Form 10 and amendments. How to Find a Company’s Registration Statement in SEC EDGAR A registration statement is one of the most
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Form 15-15D Explained: Suspension of SEC Reporting Obligations
Form 15-15D is an SEC filing used when an issuer seeks to suspend its reporting obligations under Section 15(d) of the Securities Exchange Act. In practical terms, it can signal that a company may stop filing periodic reports such as Form 10-K, Form 10-Q and Form 8-K for securities that previously triggered reporting d
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How to Download SEC Filings and Exhibits from EDGAR
TITLE: How to Download SEC Filings and Exhibits from EDGAR SEO DESCRIPTION: Learn how to download SEC filings and exhibits from EDGAR, including main documents, filing index pages, exhibit files, XBRL data and complete filing packages. How to Download SEC Filings and Exhibits from EDGAR SEC EDGAR lets users download no
Read guide →Form 15-12G Explained: Terminating Registration of a Securities Class
Form 15-12G is an SEC filing used when a company seeks to terminate the registration of a class of securities under Section 12(g) of the Securities Exchange Act. In practical terms, it can mark a major change in a company’s public reporting status because it may lead to the end of ongoing Exchange Act reporting obligat
Read guide →How to Read SEC Accession Numbers and Filing Index Pages
TITLE: How to Read SEC Accession Numbers and Filing Index Pages SEO DESCRIPTION: Learn what SEC accession numbers mean, how EDGAR filing index pages work, and how to use them to find main filings, exhibits, amendments and source documents. How to Read SEC Accession Numbers and Filing Index Pages Every SEC EDGAR filing
Read guide →SEC Registration vs SEC Filing Explained: What Is the Difference
SEC registration and SEC filing are related concepts, but they are not the same. A filing is any document submitted to the SEC through systems such as EDGAR or IARD. Registration is a specific legal process that may apply to securities, issuers, investment companies, broker-dealers, investment advisers or other regulat
Read guide →How to Find a Company CIK in SEC EDGAR
TITLE: How to Find a Company CIK in SEC EDGAR SEO DESCRIPTION: Learn what a CIK number is, how to find a company’s CIK in SEC EDGAR, and why CIK searches are more reliable than company name searches. How to Find a Company CIK in SEC EDGAR A CIK, or Central Index Key, is the unique identifier assigned by the SEC to enti
Read guide →Does an SEC Filing Mean the Offering Was Approved What Investors Should Know
An SEC filing does not automatically mean the SEC approved an offering, verified the issuer or endorsed the investment. This is one of the most important points for investors to understand when reading EDGAR records, Form D notices, registration statements, Regulation A filings, proxy materials or private fund disclosu
Read guide →How to Search SEC EDGAR by Company Name, CIK, Filing Type and Date
TITLE: How to Search SEC EDGAR by Company Name, CIK, Filing Type and Date SEO DESCRIPTION: Learn how to search SEC EDGAR using company names, CIK numbers, filing types and date ranges to find registration statements, annual reports, Form D filings and other SEC disclosures. How to Search SEC EDGAR by Company Name, CIK,
Read guide →Private Placement Memorandum Explained: What SEC Filings Can and Cannot Verify
A private placement memorandum, often called a PPM, is an offering document used in private securities transactions. It explains the issuer, securities being offered, investment strategy or business plan, risk factors, use of proceeds, fees, conflicts, investor eligibility and subscription process. In private fund offe
Read guide →How to Verify Whether a Fund Adviser and Broker Are Different Entities
TITLE: How to Verify Whether a Fund Adviser and Broker Are Different Entities SEO DESCRIPTION: Learn how to check whether a fund adviser and broker are separate entities by comparing Form ADV, BrokerCheck, Form CRS, offering documents, CRD numbers and SEC records. How to Verify Whether a Fund Adviser and Broker Are Dif
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