SEC Guides
Practical explainers for SEC filings, EDGAR, private funds and adviser records.
ABS Trustee Reports Explained: Distributions, Defaults and Trigger Events
TITLE: ABS Trustee Reports Explained: Distributions, Defaults and Trigger Events SEO DESCRIPTION: ABS trustee reports help investors review distributions, defaults, reserve activity and trigger events in asset-backed securities. This guide explains what trustee reports show and how to use them. ABS Trustee Reports Expl
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Special Meeting Proxy Statement Explained: What Investors Should Read Before a Major Shareholder Vote
A special meeting proxy statement is an SEC filing used when a public company asks shareholders to vote on matters outside the regular annual meeting cycle. It is usually filed as a proxy statement under Schedule 14A, but the subject is often more urgent or transaction-specific than a routine annual meeting. Investors
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How to Read Mortgage-Backed Securities Filings on EDGAR
TITLE: How to Read Mortgage-Backed Securities Filings on EDGAR SEO DESCRIPTION: Mortgage-backed securities filings on EDGAR show loan pools, payment structures, delinquencies, losses, servicers and trigger events. This guide explains how investors can review MBS filings. How to Read Mortgage-Backed Securities Filings o
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Say-on-Pay Vote Explained: What Executive Compensation Voting Means in SEC Proxy Statements
A Say-on-Pay vote is a shareholder vote on a public company’s executive compensation program. It usually appears in the annual proxy statement filed with the SEC, often on Schedule 14A. The vote gives shareholders a formal way to approve or reject the compensation paid to named executive officers, including salary, bon
Read guide →How to Read Credit Card Asset-Backed Securities Reports on EDGAR
TITLE: How to Read Credit Card Asset-Backed Securities Reports on EDGAR SEO DESCRIPTION: Credit card asset-backed securities reports on EDGAR show receivables, collections, charge-offs, delinquencies, excess spread and payment performance. This guide explains how investors can review them. How to Read Credit Card Asset
Read guide →SEC Rule 14a-8 Explained: What Shareholder Proposals Mean in Proxy Statements
SEC Rule 14a-8 is the rule that allows eligible shareholders to submit proposals for inclusion in a company’s proxy statement. In simple terms, it gives certain investors a way to place governance, compensation, environmental, social, policy or business-related proposals before other shareholders without paying to dist
Read guide →Servicer Report Explained: How to Track ABS Payments and Delinquencies
TITLE: Servicer Report Explained: How to Track ABS Payments and Delinquencies SEO DESCRIPTION: A servicer report helps investors track payments, delinquencies, losses and collateral performance in asset-backed securities. This guide explains what servicer reports show and how to read them. Servicer Report Explained: Ho
Read guide →Form D and Form D/A: When an Exempt Offering Notice Must Be Amended
TITLE: Form D and Form D/A: When an Exempt Offering Notice Must Be Amended SEO DESCRIPTION: Understand when SEC Form D amendments are required, when certain changes may not require a Form D/A, and how to check the applicable filing instructions. An issuer may need to amend a Form D when a material error is discovered,
Read guide →How to Read a Proxy Statement: Board, Executive Pay and Shareholder Voting Explained
A proxy statement is one of the most important SEC filings for understanding how a public company is governed. It is usually filed as Schedule 14A before an annual or special shareholder meeting. While Form 10-K explains the business and financial results, the proxy statement shows who controls the boardroom, how execu
Read guide →How to Read Asset-Backed Securities Filings: Trusts, Servicers and Collateral
TITLE: How to Read Asset-Backed Securities Filings: Trusts, Servicers and Collateral SEO DESCRIPTION: Asset-backed securities filings can be difficult to read because they involve trusts, servicers, collateral pools and payment waterfalls. This guide explains the key sections investors should review in SEC ABS filings.
Read guide →Form D/A: How to Read an Amended Private Offering Notice
TITLE: Form D/A: How to Read an Amended Private Offering Notice SEO DESCRIPTION: Learn how to read an SEC Form D/A amendment, compare it with the original Form D, and understand what an amended filing does and does not show. A Form D/A is an amendment to a Form D notice for a private securities offering. It updates inf
Read guide →How to Find Executive Compensation in SEC Filings
Executive compensation is not found in only one SEC filing. The most useful source is usually the company’s proxy statement, often filed as Schedule 14A, but important compensation details can also appear in Form 10-K, Form 8-K, Exhibit 10 contracts, registration statements and equity plan documents. Investors who only
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