U.S. Filings
A company whose stock is traded on a U.S. stock exchange is, with few exceptions, required to file financial and other data with the Securities and Exchange Commission (SEC). For a complete listing and description of filing types, see the SEC Forms List. The most commonly used filings are:
- the 10-K, an annual report
- the 10-Q, a quarterly report
- the 8-K, a report of a significant event occuring between 10-K and 10-Q filings
- the Proxy Statement, information concerning items to be decided at the next annual stockholders meeting
- the Prospectus (Form S-1, S-2, S-3, or S-4), a document detailing information that is needed for making an investment decision on a company or mutual fund that is going public (IPO) or issuing additional stock
- the 20-F, an annual report for a non-U.S. company
Starting in 1993, most U.S. companies have been required to submit their filings online except for some of the more peripheral types of filing documents. Although the electronically-filed documents are available through the SEC's EDGAR database, we recommend using the online resources listed below for the best searching capabilities and for the availability, in some cases, of the stockholders annual reports (enhanced 10-K reports with pictures, graphics, and added commentary.)
Foreign Filings
Filing requirements for public companies traded on foreign exchanges will vary country by country, as will online availability of filing documents. However, English-language annual reports for selected foreign companies are included in our online sources below.
Online Sources for Company Filings
- Mergent Online
(Public companies only)
- Mint Global
(Private and public companies)
To find company filings prior to the online coverage, more details are available on the "Sources-Stocks: Company Filings" page of the Securities & Investments guide.