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What Are SEC Filings

What Are SEC Filings

What are SEC Filings?

SEC Filings involve the legislative process of satisfying
the required paperwork provided by the SEC; the SEC – also known as the
Securities and Exchange Commission – is the regulatory body belonging to the
Federal Government of the United States of America responsible for the
authentication, investigation, and regulation of companies who are
publically-traded on the commercial, open market. SEC Filings are required by
any or all companies whose stock, bonds, or securities are traded or exchanged;
without completing SEC Filings, as well as the receipt of SEC authorization, a
company will be unable to participate in trade activity undertaken within the
stock market.

SEC Filings and EDGAR
Electronic Data Gathering Analysis and Retrieval)

The EDGAR system is defined as an investigative measure
undertaken within the process of SEC Filings; prior to the granting of
permission to participate in public trade and exchange of a company’s stocks
and securities, that company will be required to both provide all applicable
documentation, as well as receive approval from the SEC Filings board. In
accordance with the process of SEC Filings, individual companies and
corporations wishing engage in trade and exchange activities undertaken of the
public market, which is also known as the stock market, are required to fulfill
the requirements expressed by the SEC; within the realm of SEC Filings, there
exist a variety of stages to complete prior to the receipt of approval.

Forms Required by the
SEC Filings Committee

The SEC Filings Board requires the submission of official
forms, which have been created – and subsequently classified – in order to
allow for the provision of pertinent information with regard to the receipt of
approval from the SEC; the following forms are required to be fulfilled and
submitted prior to approval:

Form 10-K

The 10-K Form is provided for completion by the SEC Filings
board; this form is considered to be the general account of performance with
regard to both financial and capital earned within that fiscal year; the
accuracy and truthfulness of the information illustrated by an individual
company’s 10-K Form is of the utmost importance – companies indicted in the act
of providing fraudulent and deceptive on the form will be subject to legal and
punitive recourse. The information conveyed on the 10-K form will be made
available to the general public; as a result, its authenticity and accuracy is
crucial – the following information is typically required:

Quarterly earnings of an individual country;
typically, this earnings reports coincides with fiscal quartering.

A provision of the range of Market
Capitalization experienced by that company on a quarterly basis; Market Capital
is the overall valuation of the full amount of stocks traded and exchanged
within that fiscal quarter – both the peaks, as well as the lows with regard to
individual, quarterly market capitalization are required by this SEC Filings

Form 10-Q

In contrast to the 10-K form, which is filed once, this form
is filed 3 times a year; the respective filings typically coincide with fiscal
quarters. With regard to fourth quarter activity experienced by an individual
company, that information is most often reflected by the information conveyed
by the 10-Q Form; this form is considered to be far-less detailed in
conjunction with its 10-Q counterpart.