Securities and Exchange Commission (SEC) Filing
Reports submitted by businesses operating in a given financial products industry to the SEC to comply with regulatory statutes. Includes prospectus, 10-K, 8-K forms, and any forms listed in the SEC's Form Index. To locate a form in the index, use control +F to look up the rule the filing is pursuant or the form alphanumeric file submission type - this information is provided on the first page of the filing.
Author Selection Guidance
The company or entity submitted the report.
Publisher Selection Guidance
The agency /regulator requesting the report and providing oversight to the industry.
Node Naming Convention
[The Name of the Company - Submitter of Filing] [Form Being Filed] - See examples of this the files listed below.
Related Content Types in Library
Offering Circular - similar an SEC filing as it is a an abbreviated prospectus created for a new securities listing, however it is not required to file this information with the SEC.
Agreement/Contract-Financial , Agreement/Contract-General , Agreement/Contract-Guarantee, Agreement/Contract -Services- various agreements and certifications are submitted in SEC filings as supporting exhibits. In the library we will catalog these content types as their own independent document.
The Republic of Ecuador - Listing Particulars Document
Freddie Mac Form 8-K, Exhibit 99.1 August 3, 2017
Freddie Mac Form 8-K, Exhibit 99.1 August 1, 2017
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