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This article is from the What Every
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Among the many sources of information on securities are:
- Corporations: Many public companies will send copies of
their annual and quarterly reports free of charge to prospective
investors who write or call. The annual report to shareholders
contains a description of the company's business, its financial
statements, and other updated and condensed financial and
non-financial information. For new issues of stock, the investor
should obtain and read a prospectus.
- SEC: The SEC has public reference rooms at its headquarters
in Washington, D.C. and at its Northeast and Midwest Regional
offices. Copies of the text of documents filed in these reference
rooms may be obtained by visiting or writing the Public Reference Room
(at a standard per page reproduction rate) or through private
contractors (who charge for research and/or reproduction). Other
sources on information filed with the SEC include public or law
libraries, securities firms, financial service bureaus, computerized
on-line services, and the companies themselves.
Most companies whose stock is traded over the counter or on a stock
exchange must file "full disclosure" reports on a regular basis with
the SEC. The annual report (Form 10-K) is the most comprehensive of
these. It contains a narrative description and statistical information
on the company's business, operations, properties, parents, and
subsidiaries; its management, including their compensation and
ownership of company securities; and significant legal proceedings
which involve the company. Form 10-K also contains the audited
financial statements of the company (including a balance sheet, an
income statement, and a statement of cash flow) and provides
management's discussion of business operations and prospects for the
future. Quarterly financial information is also required to be filed
on Form 10-Q, and current reports on Form 8-K may be required as
well.
Anyone may obtain copies (at a modest copying charge) of any
corporate report and most other documents filed with the Commission by
visiting a public reference room or by writing to: Public Reference
Room, Mail Stop 1-2, Securities and Exchange Commission, 450 Fifth
Street, N.W., Washington, D.C. 20549-1002.
- Publications: There are many business and financial
publications which provide news of current business conditions and
profiles of individual companies or industries. The business section
of your daily newspaper contains economic information and reports
market prices, which will enable you to follow movements in the value
of different securities. The public library can be a valuable resource
to the investor, especially if it has a business librarian who can
identify specific reference material.
- State Securities Commissions: In many cases,securities must
be registered with the securities commission of each state in which
they are to be sold. Your state securities administrator, usually
located in the state capital, may keep such documents on file and
accessible to the public.
- Other Sources: Additional sources of information include
brokerage firms, stock exchanges, and various financial advisory
services.
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