Securities and Exchange Commission (SEC) Filing

YPFS Definition

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-GuaranteeAgreement/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.

Subscribe to Securities and Exchange Commission (SEC) Filing