A prospectus is filed for offerings of stocks, bonds, and mutual funds. The document can help investors make more informed investment decisions because it contains a host of relevant information about the investment security. Companies that wish to offer bond or stock for sale to the public must file a prospectus with the Securities and Exchange Commission as part of the registration process. Companies must file a preliminary and final prospectus, and the SEC has specific guidelines as to what's listed in the prospectus for various securities. The preliminary prospectus is the first offering document provided by a security issuer and includes most of the details of the business and transaction. However, the preliminary prospectus doesn't contain the number of shares to be issued or price information. Typically, the preliminary prospectus is used to gauge interest in the market for the security being proposed. The final prospectus contains the complete details of the investment offering to the public. The final prospectus includes any finalized background information, as well as the number of shares or certificates to be issued and the offering price.
EDGAR - Filer Info
The Securities and Exchange Commission SEC requires certain financial statements and other formal documents to be submitted to them regularly. Public companies, certain company insiders—which the SEC defines as officers, directors, major stockholders, and employees of a public company—and broker-dealers are required by the SEC to make regular filings. Financial professionals and investors rely on the information that the SEC makes public in order to make prudent decisions when they are evaluating a company for investment purposes. The statements and other formal documents required by the SEC provide detailed information about the financial and operational health of domestic and foreign companies. They are intended to help investors and other stakeholders make reasonable assumptions about a given company's future. Roosevelt on June 6,
Company Filings More Search Options. Search SEC. Securities and Exchange Commission. Forms List. Number: 1. Description: Application for registration or exemption from registration as a national securities exchange PDF. Last Updated: Feb.
The SEC filing is a financial statement or other formal document submitted to the U. Public companies , certain insiders , and broker-dealers are required to make regular SEC filings. Investors and financial professionals rely on these filings for information about companies they are evaluating for investment purposes. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor.