Series 79: Collection Of Data From SEC Filings

Taken from our Series 79 Top-off Online Guide

Collection of Data from SEC Filings

Pursuant to the Securities Exchange Act of 1934, all publicly traded companies are required to file forms with the SEC, both on an ongoing basis and upon the occurrence of specific events. These forms, schedules, reports, and statements, and their exhibits, provide the number one source of financial information about public companies; the key to harnessing their value is understanding what sort of information is contained in each type of filing.

All of the filings listed in the following table are available on EDGAR

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I just passed the FINRA Series 79 exam!! I only used Solomon Exam Prep. I recognized the material that came up during the exam and felt comfortable all the way through!! That you all for your help!!

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Types of SEC Filings for Gathering Data on Public Companies
Form 10-K	• Annual report • Most detailed mandatory filing: contains audited financials, detailed company information, holdings of large shareholders, management discussion, and analysis • Filed 60 to 90 days after end of company’s fiscal year
Form 10-Q	• Quarterly report • Contains unaudited financials, management discussion, and analysis • Filed 40 to 45 days after end of company’s first three fiscal quarters • Does not contain the holdings of large shareholders
Form 8-K	• Used to report material current events to shareholders • Filed within four days of event triggering report
Transition Reports: SEA Rule 13a-10	• Used to report a change in an issuer’s fiscal closing date • Defines a transition period between old and new fiscal year • Financial reports made during the transition period must be audited • Unaudite