How to Complete SEC Filings

Find out how to file with the SEC.

Federal law requires that all publicly traded companies file financial documents with the Securities and Exchange Commission (SEC). These documents allow the SEC to monitor the financial condition of these companies and ensure that trading of public companies follows established legal procedures. The SEC forms range considerably in purpose, from basic annual reports to specific documents such as an application for the qualification of trust indentures and a preliminary proxy statement regarding a merger or acquisition. For publicly traded companies or companies that hope to go public, it is essential to understand the filing process and the importance of maintaining accuracy in filing.

Things You'll Need

• SEC forms applicable to company situation
• EDGAR access code

Instructions

1. Review the SEC Web site and select the correct form that is applicable to your company situation. The SEC provides a useful resource on its Web site, detailing the list of forms and the description of forms. Among commonly filed forms, Form S-1 is used for publicly traded companies to register their financial information for a specific security. Form 10-K represents the annual report of a publicly traded company's financial situation. Form 11-K is the form used to indicate employee stock purchase and other savings plans for employees.

2. Access the Electronic Data Gathering, Analysis and Retrieval system (EDGAR), the SEC's electronic database for filings located on the SEC Web site to file the proper forms.

3. Review the appropriate manual before filing. Because EDGAR covers so much and can seem overwhelming, the SEC provides three manuals--Volume I, Volume II, and Volume III--to explain the filing process and to assist companies in keeping their filings updated on EDGAR. Volume I covers general filing information about the overall application process. Volume II focuses specifically on filings. And Volume III discusses NSAR filings, for companies required to complete these.

4. Select a filer Web site to use when filing forms. The EDGAR Gateway Web site, the EDGAR Filer Management Web site, the EDGAR Filer Web site (which is the SEC's main filing site), and the EDGAR OnlineForms Web site all provide the option to file SEC documentation. For new filers, go to EDGAR Filer Management Web site and select "Apply for EDGAR Access." This features allows new users to create an access code and password and thus access the EDGAR Filer Web site and the EDGAR OnlineForms Web site, both of which require a previously created CIK (or access code) and password. Once you have created the access code, you can begin the filing process at whichever filing Web site is most appropriate to the forms you are using.

References

• Securities and Exchange Commission (SEC)
• EDGAR Gateway Website