SEC Laws & Filings

There are many sources for Securities & Exchange Commission (SEC) filings in subscription databases and free sources. Only a selected few are listed below. If you want to understand the difference SEC filings, the SEC has created a document to help. Of particular interest when it comes to Mergers & Acquisitions External are the 8-K, 14-C, 425, and Proxy Solicitation Materials i.e. 14-A.

SEC Laws

This section contains basic information on laws and and information and sources of filings that will come up for anyone doing research in this area.

Additional information about laws governing the securities industry other than those below, can be obtained from the following websites:

The Laws That Govern the Securities Industry
The Securities and Exchange Commission provides a page summarizing the major legislation governing the securities industry, along with links to the full text of a number of the laws, many from the Securities Lawyer's Deskbook.
Securities Lawyer's Deskbook External
The Securities Lawyer's Deskbook is maintained by the University of Cincinnati College of Law, provides full text of many of the above laws, along with rules and regulations promulgated under each act, selected forms prescribed under the Securities Act of 1933, and regulations setting Standards of Professional Conduct for Attorneys.

Securities Act of 1933
Requires that investors receive financial and other significant information concerning securities being offered for public sale; and prohibits deceit, misrepresentations, and other fraud in the sale of securities.
Securities Exchange Act of 1934
The Act creating the Securities and Exchange Commission.
Public Utility Holding Company Act of 1935
Interstate holding companies engaged, through subsidiaries, in the electric utility business or in the retail distribution of natural or manufactured gas are subject to regulation.
Trust Indenture Act of 1939
Covers debt securities such as bonds, debentures, and notes that are offered for public sale.
Investment Company Act of 1940
Regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public.
Investment Advisers Act of 1940
Provides for the regulation of investment advisors.
Williams Act of 1968 (PDF, 843 KB) External
The Williams Act refers to the 1968 amendments to the Securities and Exchange Act of 1934 (15 U.S.C. § 78a et seq.) to require mandatory disclosure of information regarding cash tender offers. When an individual, group, or corporation seeks to acquire control of another corporation, it may make a tender offer.

SEC Filings

First try the Investor Relations area of a public company's website frequently includes SEC filings. Beyond that, there are free sources for filings as well a subscription sources for filings prior to 1994.

Search the EDGAR Database
Beginning in about 1994, the Securities and Exchange Commission instituted online submission of filings with the Commission known as EDGAR.
Yahoo Finance External
Yahoo does include some filings but they are best accessed after retrieving a company’s profile and clicking on SEC filings.

There are subscription databases that may allow users mor sophisticated search and download options.

The Library does have filings though the following databases though searching within filings and across the database is limited. The subscription resources marked with a padlock are available to researchers on-site at the Library of Congress. If you are unable to visit the Library, you may be able to access these resources through your local public or academic library.

Westlaw Business Law Solutions Westlaw Business Law Solutions External
Westlaw Business Law Solutions part of the Thomson Reuters company, includes a product formerly know as LivEdgar suite and is a paid database of SEC filings. Searching in the product is full-text. Pre-EDGAR filings are available. This company also has historical SEC filings that were part of the Disclosure service. Access to the filings for a fee is possible via Thomson Reuters on Demand. This is not a service the Library of Congress subscribes to.

Mergent Online External This link opens in a new window
Provides global detailed financial data for over 35,000 active and inactive companies. Contains business ratios, historical information, SEC filings and US annual reports for over 15,000 public U.S. companies, as well as international company data for approximately 17,000 companies, including international annual reports, FactSheets, and country information. U.S. Company Archives Data holds the full business descriptions, histories and financial statements for companies that were acquired, went bankrupt, liquidated or merged out of existence from 1996 onward. Users can also determine the 25 largest institutional holders for every U.S. company, as well as examine aggregate institutional buyers and sellers data. Search by company name or ticker symbol, or search across all global boundaries to find companies that match specific financial and/or textual search criteria. The D&B 20 Million Plus Private Company Database is now part of Mergent Online. Supply Chain provides comprehensive coverage of companies, including their products, major customers, suppliers, partners, and industries.
Also included are the Ford Equity Research Reports (aka: Mergent Equity Investment Research Reports) - Mergent Online offers the current issues of multi-page equity research reports released weekly for over 5500 U.S. companies. The reports provide ratings, recommendations, sector analysis, and company financial information. For the previous 3 years of this title please see the Mergent Archives database.

Mergers, Acquisitions, and Joint Ventures: A Resource Guide

SEC Laws & Filings

SEC Laws

SEC Filings