SEC and Regulatory Filings Data

Overview

InfoTrie offers SEC and Regulatory Filings Data content and history providing in depth access to hundreds of document types, including Annual & Quarterly reports, CSR, ownership, and other regulatory filings and more. Our global network of experts results in unique coverage and timeliness with flexible and scalable availability of all documents

We capture market across mega, large, small, and micro capitalization segments. For instance:

A. Financial Reports
- 10K – Each company annual one record/year,
- 10 Q – Quarterly Financial Report
B. Executive Compensation Details
- 8K – anytime of the year in case of reforms
C. Critical Corporate events
- FORM 3,4,5 – M&A, Bankruptcy etc.
D. Beneficial Ownership report
- 13F,13G – Share Market Information inside the company

Features of SEC and Regulatory Filings Data

Leverage Financial Information and Documents.
Spread across Mega, Large, Small, and Micro Enterprises.

Benefits of SEC and Regulatory Filings Data

Leverage research quality, and historical market filings.
Monitor and strategize returns.
Intelligence reports over filtered time series.

External Links and Sample Sources

U.S. Securities and Exchange Commission (SEC): The official SEC website, particularly the EDGAR database where filings are made public.
Financial Industry Regulatory Authority (FINRA): U.S. regulatory body that oversees brokerage firms and exchange markets.
Their equivalent in other countries :
- Canada
  - Canadian Securities Administrators (CSA): https://www.securities-administrators.ca/
  - System for Electronic Document Analysis and Retrieval (SEDAR): https://www.sedar.com/
- United Kingdom
  - Financial Conduct Authority (FCA): https://www.fca.org.uk/
  - National Storage Mechanism (NSM): https://data.fca.org.uk/#/nsm/nationalstoragemechanism
- European Union
  - European Securities and Markets Authority (ESMA): https://www.esma.europa.eu/
  - Official Journal of the European Union (OJEU): https://eur-lex.europa.eu/oj/direct-access.html
- Germany
  - Federal Financial Supervisory Authority (BaFin): https://www.bafin.de/
- France
  - Autorité des marchés financiers (AMF): https://www.amf-france.org/
- Australia
  - Australian Securities & Investments Commission (ASIC): https://asic.gov.au/
  - Australian Financial Markets Association (AFMA): https://www.afma.com.au/
- Japan
  - Financial Services Agency (FSA): https://www.fsa.go.jp/en/index.html
  - Tokyo Stock Exchange (TSE): https://www.jpx.co.jp/english/
- China
  - China Securities Regulatory Commission (CSRC): http://www.csrc.gov.cn/pub/csrc_en/
  - Shanghai Stock Exchange (SSE): http://english.sse.com.cn/
- India
  - Securities and Exchange Board of India (SEBI): https://www.sebi.gov.in/
  - Bombay Stock Exchange (BSE): https://www.bseindia.com/
- Brazil
  - Comissão de Valores Mobiliários (CVM): http://www.cvm.gov.br/indexing.html
  - B3 – Brasil Bolsa Balcão: http://www.b3.com.br/en_us/
A wider list can be provided on demand.

Key Facts

Coverage – US Market in standard. Other Markets on demand
History – 2012 onwards
Delivery Mechanism – API, Cloud, Digital Files, Excel, FTP, RSS Feed, SFTP, Website
Data format – CSV, GZIP, HTML, JSON, PDF, Python, Text User Interface, XML, Zip Archive
Data Refreshed – Daily, Weekly, Bi-Annually or Annually and on demand

Use Cases

Correlate and predict quantitative factors
Broad Market Coverage