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Company & Industry Information: SEC Documents

This guide will help you compile a company or industry profile, including locating SEC financial materials and demographic information.

SEC Authority

The SEC's authority comes from different rulings and decisions of the various SEC divisions and departments.  You may find guidance to what "the law" is from any of the following:

  1. Laws and regulations
    • For more information, see Laws & Regulations section under the SEC/Financial Information tab

  2. Regulatory actions (aka Rules)

  3. Staff interpretations: Informal guidance through oral and written statements of SEC staff members.

  4. Litigation releases: Includes all civil lawsuits brought by the SEC Commission in federal court.
    • Administrative proceedings
    • Reports of investigations
    • Commissioner Opinions and Adjudicatory Orders
    • Amicus Briefs
    • Appellate Court Briefs

  5. ALJ Orders and Decisions

  6. Company filings and forms
    • For more information, see Using EDGAR section under the SEC/Financial Information tab.

Locating SEC Documents

For the most part, you will be able to find SEC documents from the SEC website.

Click on the links below to begin your search:

You can also find SEC documents on Westlaw, Lexis, and CCH Intelliconnect.