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Questions tagged [sec]

United States Securities Exchange Commission - Regulatory Agency

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How can I get the same values from the SEC API?

I am trying to get the same Depreciation and Amortization (Total) we can get for AAPL on Seeking Alpha and QuickFS for instance. Here is what is their values: However, what I am getting using the SEC ...
J.Doe's user avatar
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What does the value in SEC FORM 13F mean?

13F-HR table has a value field, e.g. https://www.sec.gov/Archives/edgar/data/1726609/000108514624000840/xslForm13F_X02/infotable.xml I'm wondering if it means the fair value of the shares at that ...
daisy's user avatar
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What is China's version of SEC/Edgar?

I use this page in the SEC (SEC Edgar Company Search) to search for annual reports (10-Ks) for companies in the US. What is the equivalent url that I would go to search for Chinese companies? For ...
Katsu's user avatar
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How do I get revenues of companies split into relevant segements from SEC EDGAR?

i am looking for a way to get the revenues of companies split into their relevant parts from SEC EDGAR. For example: If i am looking up AAPL i want to get the revenue in their specific products like ...
snenson's user avatar
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NBBO execution at public exchange

There are about 16 stock exchanges in the U.S market. According to Reg NMS, broker-dealers have to guarantee at least NBBO price to its customer. My question is if the best ask is coming from say IEX ...
Zheng's user avatar
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How often must Instituitions report their holdings to the SEC?

If one goes to the following page => https://finance.yahoo.com/quote/PBF/holders?p=PBF It shows the holding of various institutions for a particular stock. 2 questions here: How often do they have ...
user1034912's user avatar
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1 answer
105 views

Why do SEC offering circulars say "X Corp is not legally related to X Inc"

Reviewing this offering circular: https://www.sec.gov/Archives/edgar/data/1786471/000119312522234216/d283521d253g2.htm - it includes the following language: In this Offering Circular, the term “...
Nathan's user avatar
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Were can I find the Depreciation for Microsoft (MSFT)?

I looked at the financial statements for MSFT. I am trying to find the depreciation in the operating expenses, but it seems they did not disclose the information. Did I look at the the right place? ...
J.Doe's user avatar
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1 answer
167 views

True risk in Risks in Clearance and Settlement

Currently US stocks are settled in T+2 and options are settled in T+1 days. Their is SEC proposal that is going to make stocks settlement to T+1 ( side comment, don't know if options will be cleared ...
puzzled's user avatar
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3 votes
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Does the SEC require an announcement of hostile takeovers?

Elon Musk bought 9% (or so) of Twitter. Apparently he failed to make some sort of disclosure, which he is being sued for Musk started buying Twitter stock in January and acquired more than 5 percent ...
Machavity's user avatar
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which sec date is the date the form becomes public to people

there are 2 dates for each sec form: 1 is the filing date, the other is the accepted date. I looked at those 2 questions: first question and second question I need to understand: at which date the ...
Matan's user avatar
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What does the ownership parameter mean in sec's searching string?

When you search info on specified company such as There are three options for Ownership:include,exclude,only.What do they mean here?
showkey's user avatar
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1 answer
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Why in 13F filing, the same company was split into two rows?

In this SEC filing of Goldman Sachs https://www.sec.gov/Archives/edgar/data/886982/000076999321000319/xslForm13F_X01/InfoTable_2021-11-09_Final.xml There are two rows: I don't find any difference ...
AGamePlayer's user avatar
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2 votes
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What is the difference between "Filing Date" and "Accepted" date in EDGAR?

In Apple's 2019 Form 10-K filing on EDGAR, I see this: What is the difference between "Filing Date" and "Accepted" date? In some filings, the "Filing Date" and "...
Flux's user avatar
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What is the required deadline to report an insider trade?

https://www.sec.gov/Archives/edgar/data/844059/000147450621000165/xslF345X03/primary_doc.xml I see the above trade was on 10/12/2021. But it was reported almost a month later 11/05/2021. Does anybody ...
user15482691's user avatar
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What happens after SEC revokes the registration of a stock?

Looking at United Development FUnding Income Fund IV (which was a listed REIT on Nasdaq which subsequently traded OTC): This security had its registration revoked by SEC on 2020.08.13, according to ...
TJNI4fmgOSiB2yFX's user avatar
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Rule 144a and Publicly Traded Companies

Suppose you exercise an employee stock option and receive 100 Class A shares. Class A shares are publicly traded on the NASDAQ. Do you have to follow Rule 144?
Jake Freeman's user avatar
1 vote
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SEC Form D - Are Founders Investors?

Main Question: Are Founders considered "investors" for purposed of filing the SEC's Form D? Context: I am starting a corporation with 2 others. We have set up Restricted Stock Purchase ...
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1 vote
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130 views

Conflict of trading restrictions with having ETF and mutual funds

Many employees of public companies have trading restrictions to trade their employer's stock because they have inside knowledge. For simplicity let's assume I'm an Apple employee and only allowed to ...
Hilmar's user avatar
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Average Annual Total Return - How to calculate fractional number of years?

Per the SEC Form N-1A, P(1+T)n = ERV Where: P=a hypothetical initial payment of $1,000. T=average annual total return. n =number of years. ERV= ending redeemable value of a hypothetical $1,000 ...
James's user avatar
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Sec Ownership Filings (3,4,5) how are dead Insiders reported?

I recently looked into 3,4 and 5 filings on the sec, they are basically required when insiders (CEO’s, Officers, 10% owners, …) purchase stocks or derivates of their company. These documents are ...
SirJoe's user avatar
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Why do companies need to file form 8A?

I currently follow a company (DTST) in progress to be listed on the Nasdaq Capital Market (previously traded on the OTC). After filling the S1 report with multiple amendments, they also recently filed ...
Richard Miller's user avatar
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What is the time zone of the events featured by the SEC?

The SEC Edgar Filing Tracker is the official place to track official company filings. Let us take the example of Apple reports. You see a long list of filings and a Date with a rather exact hour of ...
Veliko's user avatar
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Why does eBay's 2018 Form 10-K filing show a different net revenue for 2018 than in its 2020 filing?

eBay's 2018 10-K filing declares a net revenue for 2018 of $10.746 billion. eBay's 2020 10-K filing declares a net revenue for 2018 of $8.650 billion. Why is there a discrepancy?
user108917's user avatar
4 votes
2 answers
445 views

How do I use a "Document Control Number" to access a filing on EDGAR?

I would like to read Reliance Industries Ltd's Form 12G32BR filing on EDGAR. However, the only document in that filing says: This document was generated as part of a paper submission. Please ...
Flux's user avatar
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2 votes
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What are the biggest determinants for the SEC to successfully enforce market discipline? [closed]

While not a smoking gun, a single New Jersey Deli with four-figure revenue that succeeded in floating 8 million shares and eventually reached a market cap of over a hundred million dollars seems to be ...
Arash Howaida's user avatar
1 vote
0 answers
112 views

Does the Regulation NMS Order Protection Rule apply to odd lots?

The order protection rule prohibits trade-throughs of NMS stocks during regular trading hours, but does the prohibition apply to odd lots too? If I decide to bid $408,500 for 1 share of Berkshire ...
Flux's user avatar
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1 vote
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What are SEC issues I should know about when using my automatic stock trading software?

I created software that does automatic stock buying and selling through Interactive Brokers' web/API. Does the SEC regulate this?
Doug Null's user avatar
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Company EPS differs from 10-Q and 10-K

I'm reviewing the 10-K filing of a company I'm thinking about investing in, and I came across some confusing information in my research. For FY20Q1/2/3 the EPS you can get from Fidelity, Yahoo, etc., ...
pstatix's user avatar
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2 votes
1 answer
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Understanding the spectrum of "SEC regimes"

I heard somewhere on a market commentary forum that the current SEC regime is "activist." I paused and tried to figure out what that meant, but I couldn't -- at least to a meaningful degree. ...
Arash Howaida's user avatar
3 votes
0 answers
226 views

How can I know which underlying security an F share represents?

From my understanding, "F shares" are created by US broker-dealers to show quotes of foreign securities in USD (source: FAQ on F Shares - OTC Markets). If I know the symbol of an F share, is ...
Flux's user avatar
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1 vote
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391 views

Is it bad for a stock to be on the Regulation SHO threshold list?

I have been reading up on Regulation SHO, and I have found some lists of stocks on the Regulation SHO "threshold list": SEC: Fails-to-Deliver Data, and OTC Markets: Reg SHO Data. However, I ...
Flux's user avatar
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7 votes
1 answer
701 views

SEC filings: Apple number of shares

I'm experiencing some trouble in understanding the evolution of the Apple number of shares. In particular, I am looking at its 10-Qs of 27 June 2020 and 26 December 2020. Here, I read that there were ...
John Giorgio's user avatar
1 vote
1 answer
119 views

SEC Form 4: Statement of Changes in Beneficial Ownership [PLTR/Peter Thiel]

Could someone explain to me how an insider disposed shares with "$0.00" price according to PLTR SEC Form 4? I understand the acquired shares with "$0.00" price may be given as ...
Kaguya Ōtsutsuki's user avatar
5 votes
2 answers
893 views

Is room and board a qualified expense?

My daughter recently started college, and I'm looking at paying for it out of her 529 account. A significant part of the cost is room and board. The IRS website about qualified educational expenses ...
Peter K.'s user avatar
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3 votes
1 answer
960 views

Accredited investors when W-2 Box 12 reduces Box 1 income

My understanding is that to be an "accredited investor" as defined by the SEC, an individual must have $200,000 of earned income two years in a row. If a person has pre-tax deductions from ...
Daniel's user avatar
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1 vote
2 answers
110 views

How can I look up a public company's short-stock position? [duplicate]

I understand what has brought so much attention to GameStop's stock is someone noticed that it has strong finances but was being heavily shorted, i.e., other people took heavy bets that the stock ...
user1717828's user avatar
0 votes
2 answers
85 views

Why must an investment bank underwrite an IPO, not a company's finance department led by the CFO?

Isn't it merely an interaction with a bureaucracy like say.. renewing your passport or getting an apostille on a document? Sure, you can go through a third-party, but you can also do them yourself (...
user9681173's user avatar
1 vote
0 answers
49 views

Can the reporting person on a SEC Form 4 choose to break down the stock transactions (Table I) whichever way they want?

Looking at a SEC Form 4's Table I (mirror): I see that many transactions were made 2020-12-14, and they were grouped into 2 rows in the table (according to the documents, the first row corresponds to ...
Franck Dernoncourt's user avatar
0 votes
1 answer
368 views

Research and Development Costs Not Shown on SEC Income Statements

I'm new to analyzing company financial statements (specifically, Income Statements). I noticed that some companies do not have Research and Development costs reported on their Income Statements, and I'...
Sam Moran's user avatar
3 votes
1 answer
74 views

What are "Other Orders" in order routing reports?

I was reading Robinhood's SEC Rule 606(a) disclosure report (Robinhood Securities - Held NMS Stocks and Options Order Routing Public Report) for Q1 2020. For orders on S&P 500 stocks in January ...
Flux's user avatar
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5 votes
2 answers
11k views

Get Revenue Details in Google Sheets using Google Finance

Recently I learned about GoogleFinance and it's feature to use Google Sheets to provide you with all stock market data using a formulae for eg. =GOOGLEFINANCE("GOOG", "price", &...
Aklank Jain's user avatar
3 votes
1 answer
429 views

How can I see the results of a shareholder vote (US)?

After reading this question about shareholder proposals, I tried to find the results of the vote. For the sake of argument, let's say I'm interested in the proposal mentioned in that question, which I ...
Laurent S's user avatar
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16 votes
5 answers
4k views

Is it possible to violate SEC rules within a retail brokerage account?

I am a small buy-and-hold investor. I recently asked a question about pump and dump scams: Will I be investigated if I regularly profit from pump and dump scams? One interesting comment by user @Steve-...
Flux's user avatar
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2 votes
1 answer
176 views

How do locked markets get resolved in a low-volume market?

Consider a low-volume exchange-traded security that sometimes sees no trading volume for days on end. Examples of such securities are some bonds, preferred shares, SPACs, and ETFs listed on the NYSE ...
Flux's user avatar
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0 votes
0 answers
820 views

What is the difference between SEC Form S-1 and S-3 filings?

I've been digging into S-1 and S-3 filings and I can get the general idea behind them both but am unsure about the specific distinctions between the two types of filings. Does anyone know what these ...
ABC's user avatar
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Which SEC forms do public companies file when they issue new bonds?

Which SEC forms do public companies file on EDGAR when they issue new bonds? Judging by Coca Cola Co and Apple Inc. SEC filings, the relevant forms seem to be: Form 424B2, Form 424B5 — the prospectus ...
Flux's user avatar
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972 views

Where to find the public float in SEC filings

I have been traversing through a company's 10-Q on the EDGAR website and I can't find any mention of a public float, but they have it on Finviz. So how do we find it? Finviz is sometimes/oftentimes ...
ABC's user avatar
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1 answer
190 views

What is a "regular way" contract?

I was reading a stock brokerage firm's article on Regulation NMS and Rule 611, which says: The Order Protection Rule requires trading centers to establish and enforce procedures designed to prevent &...
Flux's user avatar
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1 vote
2 answers
339 views

Given a ticker symbol, how can I know the corresponding SEC Edgar's Central Index Key (CIK)?

I read on https://www.sec.gov/edgar/searchedgar/cik.htm: The Central Index Key (CIK) is used on the SEC's computer systems to identify corporations. Given a ticker symbol, how can I know the ...
Franck Dernoncourt's user avatar