Sec filing forms. 30 am – 4pm) Email: sec@sec.

Sec filing forms onlineforms. Investment advisers file Form ADV to register with the SEC and/or the states. . Form X17A-5. 00015310. Each SEC filing is accompanied with specific instructions and stipulations including time deadlines. 1 (PDF) for more information about EDGAR forms that require a filing fee payment. Oct 1, 2024 · The current fee rate for 10/1/2024 to 9/30/2025 is: $153. 30 am – 4pm) Email: sec@sec. Using EDGAR to View SEC Filings for Research Filer Management - SEC EDGAR Filer Manual (Volume II) 3-4 December 2020 Submission Type Description Tool/ Template Number Filer-Constructed Form Spec. gov credentials, completion of multifactor authentication, and compliance with all EDGAR Next changes. gov. You can still use Workiva to create forms not listed in this article, then file them directly through the SEC website. 1. Jun 17, 2024 · The SEC requires publicly traded firms and providers of investment products to file financial statements and other information periodically. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor. (1) This Form shall be used for annual reports pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U. 15d-13). 485 - Fund Prospectuses 8-K - Change in Material Status S-8 - Registration of Securities ALL - All forms Enter a form ID to override the list above: This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. Form D is a brief notice of a company’s executive officers and stock promoters, in lieu of the regular Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow. 10-QT, 10-QT/A Transition report pursuant to Rule 13a-10 or 15d-10 EDGARLink The EDGAR Online Forms Management Website makes it easier for filers and their agents to submit electronic filings. Form 10-Q shall be used for quarterly reports under Section 13 or 15(d) of the Securities Exchange Act of 1934 (15 U. We would like to show you a description here but the site won’t allow us. Filers may continue to enroll through December 19, 2025, however, unenrolled filers will be unable to file until they do so. Note: for the quickest reply, please send a detailed email. com As of Monday, September 15, 2025, access to EDGAR Online Forms and EDGAR Filing websites will require Login. S. 31, 2013 SD. 26 KB) Last Reviewed or Jun 3, 2022 · Furthermore, to benefit investors and the public, electronic filings will be more readily accessible to the public and available on the SEC website in easily searchable formats. Form D is a form to be used to file a notice of an exempt offering of securities Form Type: SEC Description: 10-12B: Initial general form for registration of a class of securities pursuant to section 12(b) 10-12B/A: Amendment to Initial general form for registration of a class of securities pursuant to section 12(b) 10-12G: Initial general form for registration of a class of securities pursuant to section 12(g) 10-12G/A Form 3 to initially disclose his or her ownership of the company’s securities. Filing with unsupported forms. Copy Link Copied! Specialized Disclosure Report Dec. Mutual Fund Search View prospectuses, proxy voting records, and other forms by typing the name of a mutual fund or ETF. FORM PF . Form 4 must be filed by the 10 th day of the following month of the transaction. Companies have up to 24 hours after the original filng deadline to file Form 12b-25. Oct 25, 2024 · The SEC eliminated the ability to request extensions for Form 8-K filings in 2004. By filing this form, a filer may gain up to 5 additional days to file Form 10-Q or 15 days to file Form 10-K. Companies must submit them within 40 or 45 days after the end of each quarter, depending on their classification. Stock prices tend to spike when CEOs file a Form 4 indicating they purchased shares in the company. Dec 29, 2021 · This is helpful especially because EDGAR filings are rejected if they have external hyperlinks. 6 upgrade to the EDGAR system (effective July 28, 2003) improves the functionality of the online filing system for Section 16 reports on Forms 3, 4 and 5 (including amendments to these forms). FileForms is the leader in state and federal compliance technology. It is the initial filing that tells all the ownership amounts. Filers may search for and view company information about various EDGAR filing entities; this information includes data such as company name, address, cik, and fiscal year end. To find a form, either select the appropriate category below or scroll through the full list of forms arranged in alphanumeric order. com may be compensated for its services in the form of cash-based compensation or equity securities in the companies it writes about, or a combination of the two. Form 3. Mar 24, 2025 · The Electronic Data Gathering, Analysis and Retrieval (EDGAR) system is the primary way for companies and individuals to submit filings to the SEC in accord with the federal securities laws. This is a reference copy of Form PF. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". These filings provide a detailed account of a company’s financial performance, operational activities, and other significant events that could impact investors’ decisions. Form 5 is an annual summary of Form 4 that includes any information that was supposed to be reported but wasn't. GENERAL INSTRUCTIONS . Real-time insider trading alerts notify users by email when user-defined criteria are met. pdf For frequently asked questions concerning Form ADV and IARD, please see: Form ADV/IARD FAQs. On March 24, 2025, EDGAR Release 25. “I am pleased to support these amendments because they will modernize and increase the efficiency of the filing process — for filers, investors, and the SEC Skip to Main Content. Once you have determined which SEC form you must submit, please refer to the EDGAR Filer Manual, Volume II, Section 3, Index to Forms, for the appropriate EDGAR submission types for that form. See full list on investopedia. This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. You may wish to read answers to Frequently Asked Questions about the implementation and interpretation of the Form 8-K items, produced by the staff of the Division of Corporation Finance. Notice: If you are an ownership form filer (specifically filing form types 3, 3/A, 4, 4/A, 5, 5/A, 144, 144/A, Schedule 13D, Schedule 13D/A, Schedule 13G or Schedule 13G/A), please login to our new OnlineForms website. pdf (PDF, 253. Form 4 must be filed within two business days of an eligible transaction. formsd. Copy Link Copied! Create an XML Information Table for Form 13F Using Excel; Create and Manage Filer and User API Tokens; Determine the Status of My Filing; Enroll in EDGAR Next; File Form 144 Electronically; File Schedule 13D, Schedule 13 G, and Corresponding Amendments; Invite, Remove, and Change the Roles of Individuals; Know What Form I Should Use You can find a company’s Form 8-K filings on the SEC’s EDGAR database. Insider buying and selling is usually tracked by the more common Form 4 filings. 2023: SEC1673. Unlike the other forms in the Form MA series, which are completed online and 5, copy of Form 5 or separate page of 8 ½ by 11 inch white paper, indicate the number of pages comprising the report (Form plus attachments) at the bottom of each report page (e. File your BOI report online with FinCEN's official BOI E-FILING platform. Jan 5, 2019 · List of SEC Filing Forms This page provides links to PDF versions of SEC Public Forms and rules, regulations, and schedules associated with the forms listed. Jul 25, 2024 · Submit Filings; Forms Index; FOCUS Report, Part II Forms. Form 10 Author: U. Latest Filings. Copy Link Copied! Regulation A Offering Statement Aug. SOX Automation Intuitive SaaS technology that maintains all business locations, processes, risks and controls in a single platform, providing full visibility to your overall SOX SEC Filings: News about our company, products, services, events, presentations, investor relations communications and other company communications As of Monday, September 15, 2025, access to EDGAR Online Forms and EDGAR Filing websites will require Login. 200 East Hardin Street. Findlay, Ohio 45840. FORM 10-Q . You may not send a completed printout of this form to the SEC to satisfy a filing obligation. About. Form 10-K is a report that provides a comprehensive summary of a company’s performance for the year. Form & File Filed Reporting for Filing entity/person CIK Located Nov 22, 2024 · Submit Filings; Forms Index; Regulation A Offering Statement Forms. FORM 4 ☐ Check this box if no longer subject to Section 16. It is more detailed than the annual report that is sent to shareholders during the annual meeting to elect directors. Apr 30, 2024 · Company SEC filings represent the financial reports and statements filed with the Securities and Exchange Commission by the company. For example, here are the most recent Form 10-Ks (Annual Reports). Filed annually from 60-90 days after year's end, Form 10-K dives into a company's financial state. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. Form 4 or Form 5 obligations may continue. What’s a Form 4? In most cases, when an insider executes a transaction, he or she must file a Form 4. It uses filer-provided information to prepare an XML-formatted primary (main) document that can be verified and printed by the filer and then transmitted to EDGAR for processing. EDGAR Filings are our expertise. exchanges. Form 1-A (PDF, 509. General Instructions to Form 3: Form 4: Statement of changes of beneficial ownership of securities General Instructions to Form 4: Form 5: Annual statement of beneficial ownership of securities General Instructions to Form 5: Form 6-K: Report of foreign issuer pursuant to Rules 13a-16 and 15d-16: Form 8-A Sep 22, 2023 · Form 8-K: Considered a current report form. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at https://www. The fee is calculated by multiplying the aggregate offering amount by 0. Real-time insider trading reports segregate data based on various criteria. ET weekdays (except federal holidays). 1. Securities Law Compliance: Comprehensive guidance on securities laws, May 1, 2017 · Submit Filings; Forms Index; Form D Forms. C. What We Do; Commissioners; Securities Laws; Reports; Careers; Contact; Divisions A Form 5 can be filed up to 45-days after the fiscal quarter for Form-4 transactions that were eligible for deferred reporting. With this form filing, the public is made aware of the insider’s various transactions We would like to show you a description here but the site won’t allow us. Sector and industry report with graph view visualizes the trend of insider trading transactions at a Form D is used to file a notice of an exempt offering of securities with the SEC. municipal advisory activities . Copy Link Copied! Filing an Extension: Companies may request a filing extension for their Form 10-Q’s and 10-K’s by submitting Form 12b-25 via the Edgar system. We have activated this separate EDGAR website and would like you to become familiar with it. We file many SEC forms such as 10K, 10Q, 20-F, 6K, 8K, 13H, Section 16 and more. Copy Link Copied! Registration statement under Securities Act of 1933 Jan 6, 2025 · Form D Filings: Timely and accurate preparation of Form D to ensure compliance with SEC requirements. The following are the most common types of SEC filings: Form 10-K. Form 4: This form is used to identify changes in the company's ownership structure. EDGAR is available to accept filings from 6 a. Mar 24, 2025 · Changes from previous version. 2025 Filing Deadlines Calendar : Filing deadlines for Large Accelerated, Accelerated and Non Accelerated filers for 10K, 10Q and others. Instruction 1(b). The Form D serves as a brief notice that provides information about the company and the offering. Using the Latest Filings Search, you can subscribe to all filings, or filter by company, CIK, or Form Type. ng Mobile/Whatsapp: 09167723240 Review the most common SEC filing forms to learn when each must be filed, what it contains, and how the information is used by stakeholders, including the general public and trading analysts. SEC Filings documents grouped by date, type, and description; Date Filing Type Filing Description Download / View You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. 1 will introduce the following changes: Pursuant to EDGAR Filer Access and Account Management, Release No. You pay filing fees through EDGAR. 78m or 78o(d)), filed pursuant to Rule 13a-13 (17 CFR 240. g. For example, the form type for the annual report on Form 10-K filed by domestic public companies is “10-K. The federal securities laws require the notice to be filed by companies that have sold securities without registration under the Securities Act of 1933 in an offering made under Rule 504 or 506 of Regulation D or Section 4(a)(5) of the Securities Act. Form 5: Form 5 is an annual summary of Form 4 and includes all information the company has disclosed using Form 4. 27 Apr 12, 2017 · Where an inquiry relates to financial disclosures, as the form, content and periods of financial information required in an SEC filing may vary depending on the securities or transaction being registered, the request should also describe the company’s capital structure and listing or offering plans. Rule as to Use of Form 1O-Q. Aug 28, 2024 · SEC filings contain key information that can help investors identify promising investment opportunities and raise red flags on stocks to avoid. 78m or 78o(d)) (the “Act”) for which no other form is prescribed. Jan 30, 2014 · Which form series would you like to see? 10-K - Annual 10-Q - Quarterly 14 - Proxies, etc. sec. C) Form 5. 10 per $1,000,000. See. This Form also shall be used for transition reports filed pursuant to Section 13 or 15(d) of the Act. Please see the EDGAR Filer Manual, Volume II, Chapter 4. Unlike the 10-K, these filings contain unaudited financial statements and a condensed MD&A section. , 1 of 3, 2 of 3, 3 of 3), and include the name of the designated filer and information required by Items 2 and 3 of the Form on the attachment. Here’s how you know Potential persons who are to respond to the collection of information contained in this Form are not required to respond unless the Form displays a currently valid OMB control number. You can also choose to include, exclude, or select only Ownership filings (Forms 3, 4, 5). pdf (PDF, 360. The Securities Act of 1933 (Securities Act) also known as the ‘33 Act or the Truth in Securities law, was the first major federal legislation passed to Contact Center: +234 (0) 2094621168 or +234 (0) 2094621169 (8. If you really want a full listing of the forms, check out the SEC’s list . on the firm’s behalf is filed by the firm together with the Form MA-I relating to the natural person associated with the firm. together with the firm’s Form MA. Act Filed Under Major Form Types; 33 Act Registrations: S-1, S-2, S-3, S-4, S-6, S-8, S-11, S-18, F-1, F-2, F-3, F-4, F-6 (Foreign) 34 Act Registrations This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. Copy Link Copied! Form C April 14, 2017 C. OMB APPROVALUNITED STATES SECURITIES AND EXCHANGE COMMISSION Apr 23, 2024 · What is SEC filing? SEC filings are official documents that publicly traded companies must submit to the Securities and Exchange Commission. Form 10-K is an annual filing required by the Submit Filings; Forms Index; Specialized Disclosure Report Forms. Form MA-NR for natural persons associated with the firm and engaged in . These filings include Form 10-K (annual report), Form 10-Q (quarterly report), and Form 8-K (report of significant corporate events). Easily manage a variety of form types in one web-based platform, including Section 16 (Forms 3, 4, and 5), Schedule 13D and 13G, Form 13F, Form D, Form 144 and more. To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. The most commonly filed SEC forms are the 10-K and the 10-Q. Form 8-K filings have strict deadlines, typically four business days after the triggering event occurs. SECFilings. Jul 29, 2023 · SEC Form 10 is a filing with the SEC used to register a class of securities in preparation for potential trading on U. A. 31, 2021 1-A. Jul 1, 2024 · Number Description Last Updated SEC Number Topic(s) 10-K : Annual report pursuant to Section 13 or 15(d) (PDF) Dec. edgarfiling. Form 10-K. Filings are sometimes authorized by SEC staff for removal or correction for a variety of reasons at the filer's request including, but not limited to, the document was submitted for the wrong filer, the document was a duplicate of a previously filed document, the document in its current form was unreadable, or the document contained sensitive The EDGAR company database is a subset of the data maintained by the EDGAR system and contains over 500,000 records. A quarterly report Dec 16, 2024 · The Securities and Exchange Commission today adopted amendments to require the electronic filing, submission, or posting of certain forms, filings, and other submissions that national securities exchanges, national securities associations, clearing agencies, broker-dealers, security-based swap dealers, and major security-based swap participants make with the Commission. If you have any doubt or confusion over which form you should file, please consult your lawyer or federal securities law advisor. Form 3 must be filed within 10 days after the person becomes an insider. The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering. m. Aug 12, 2024 · Submit Filings; Forms Index; Registration statement under Securities Act of 1933 Forms. The Form 13F data sets are extracted from the eXtensible Markup Language (XML) based portion of Form 13F submissions in EDGAR. On each Form ID, the applicant must indicate the filing capacity for which it seeks access. Previously, companies could utilize Form 12b-25, but this option is no longer available for Form 8-K. Feb 11, 2010 · The SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to file a Form D with the SEC. Form 5 is required within 45 days of the company's fiscal year ending. Aug 19, 2024 · An official website of the United States government. We streamline Annual Report Submissions, Registered Agent Services, New Entity Formation, Foreign State Qualification, EINs, and more. Q: What is the Form X-17A-5? Form 13F was adopted pursuant to statutory directive designed to increase the public availability of information regarding the securities holdings of larger institutional investors. to 10 p. , annual reports on Form 10-K, quarterly reports on Form 10-Q, and current reports on Form 8-K), proxy soliciting material, and other securities disclosure documents submitted electronically by FDIC-supervised depository institutions The new EDGAR advanced search gives you access to the full text of electronic filings since 2001. Tutorials and resources to help users locate filings, conduct research, and retrieve specific information in EDGAR. Copy Link Copied! FOCUS Report, Part II June 30, 2002 X-17A-5 Part II. Securities and Exchange Commission Subject: General Form for Registration of Securities Pursuant to Section 12\(b\) or \(g\) of the Securities Exchange Act of 1934 Keywords: form, 10, general, registration, securities, section 12(b), section 12(g), Securities Exchange Act, 1934 Created Date: 12/22/2023 10:40:18 AM Create an XML Information Table for Form 13F Using Excel; Create and Manage Filer and User API Tokens; Determine the Status of My Filing; Enroll in EDGAR Next; File Form 144 Electronically; File Schedule 13D, Schedule 13 G, and Corresponding Amendments; Invite, Remove, and Change the Roles of Individuals; Know What Form I Should Use Form Types EDGAR presents search results in chronological order and identifies the filings by form types, shown in the first column of the search results. More Search Filings; Full Text Search; Latest Filings Search; Mutual Funds Search; Variable Insurance Products Search; Confidential Treatment Orders Search; Standard Industrial Classification (SIC) Code List. Form & File Filed Reporting for Filing entity/person CIK Located Oct 24, 2024 · The form records transactions involving the company's common stock, derivative securities, options, warrants, and convertible securities. Types of SEC Filings. must verify the company and its filings of the securities. 33-11313 (“EDGAR Next”) (adopted September 27, 2024): Nov 14, 2016 · What is an SEC Filing? The United States Securities and Exchange Commission (SEC) requires a number of forms and financial statements to be filed from public companies, insiders and broker-dealers. Additional Forms Form D — Filing with the Securities and Exchange Commission (SEC) required for companies that are selling securities in reliance on a Regulation D exemption or Section 4(6) exemption provisions. Most Viewed SEC Filings Symbol Other SEC Filing Deadlines Form 8-K Generally four business days after the occurrence of a triggering event, except for certain events as provided in the Form Form SD (Conflict Minerals) No later than May 31 of each year (which for 2025 will be May 30, 2025) Form SD (Resource Extraction Issuers) Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow. Investment Adviser Representatives (Form U4 and U5 Filings) State Securities Regulator (contact information available from North American Securities Administrators Association (NASAA)) Applicants that seek to make submissions on EDGAR in more than one capacity—If an applicant seeks to make submissions as, for example, a filer as well as a filing agent, it must submit a different Form ID for each capacity in which it will submit filings. Jan 18, 2023 · Although there are dozens and dozens of forms and schedules listed by the SEC, when it comes to Capital Markets Transactions, these are the seven SEC form types you must know for filings. Form 10-K, Securities Exchange Act of 1934, Public Companies This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. Access comprehensive, timely and accurate SEC filing data via easy to use APIs or file delivery. Feb 25, 2025 · Quarterly updates come in the form of Form 10-Q, which provides a less detailed financial snapshot. formc. formx-17a-5_2. Copy Link Copied! Form D March 26, 2009 D. SEC filings can be found on its online database EDGAR or via Felix. Filing fees are required for filings made pursuant to: We would like to show you a description here but the site won’t allow us. We have posted information on our website on how to use the EDGAR database. Each filer who must pay filing fees has a filing fee account in EDGAR, and the filer is required to maintain its filing fee account. You can only satisfy an SEC filing obligation by submitting the information required by this form to the SEC in electronic format online at the Private Fund Reporting Depository (“PFRD”). This page provides links to PDF versions of SEC public forms and many of the rules, regulations, and schedules associated with these forms. Filings Data Real-time access to SEC filings. Historical Archives (Boolean). The business section provides an overview of the Company. This website will also search FINRA's BrokerCheck system and indicate whether an entity is a Brokerage firm. ” Filings with “/A” appended to the form type code indicate an amendment. The information available to the public in this system includes periodic reports (e. Submit Filings; Forms Index; General form for quarterly reports under Section 13 or 15(d) Forms. Form 3 must be filed within 10 days of a qualifying transaction, such as an IPO. Aug 14, 2003 · Section 16 Electronic Reporting Frequently Asked Questions (Revised August 14, 2003) The Release 8. ☐ Check this box to indicate that a May 31, 2023 · SEC filing forms, including Section 16 forms, are using the SEC's electronic filing system, nicknamed EDGAR. 6. SEC Forms and Instructions: PDF versions of SEC forms for download, rules, regulations and schedules associated with these forms. 5. The new EDGAR advanced search gives you access to the full text of electronic filings since 2001. Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U. Tel: (419) 421-2414 Jul 1, 2024 · Submit Filings; Forms Index; Registration statement for securities of certain foreign private issuers Forms. Search historical executives form 4 filings insider trading transaction data. For a full disclaimer, click here. For detailed descriptions of each form, review the EDGAR Forms PDF documentation on the SEC website. Edgar Online makes it simple to integrate filing data into existing workflows and our unparalleled historical data can provide context and add insight for new implementations. Submit Filings; Forms Index; Form C Forms. 13a-13) or Rule 15d-13 (17 CFR 240. Nov 18, 2014 · The Other Securities Exchange Act Filings System is presented by the FDIC. ljvx lxsfvg nuei kgwzxf rnxl uvwbvv qkr drtflru osuego cvspw tkcuhf zefeo tybzz hbaq ndx