Researching Finance

  Researching Finance

“Rule No. 1 : Never lose money. Rule No. 2 : Never forget Rule No. 1.”
― Warren Buffett

Sometimes it's intriguing that you have to hunt for investment advise.  With so much talk about finance, and so much sensitivity around it, should it not be germane to have good investment opportunities on fingertips for those who can invest. 

Amen! It actually is. Lets go onto see how...

If you are one of those investors who likes to stay ahead of the curve, read on. A good investment idea, once morphed into success, often makes it to a listing in one of the Trading exchanges, under the close watch of Securities and Exchange Commission or what we know as The SEC.  A savvy investor would like to know about it at the stroke of first ray of dawn, right when the first tinkerbell rings and the very first form to register the company is received by the commission. 

This post outlines how to research the latest and the greatest securities that apply to register with the SEC, right at the moment of their first interaction.

Staring out, SEC provides a very friendly tool, EDGAR, to search for the various forms that have been submitted by corporations. The tool is available for access at EDGAR. 

Towards the bottom of the search tool is the gem of all gems; the section 'Search For'.  Look for 'Daily Filings by Type' [Direct link : Daily Filings By Type].  Scroll to the bottom of the this page to locate a search box for entering the 'Form Id'. The two interesting forms to keep in mind are 'S-1' and 'N-1A'.

Form S-1 is an SEC registration required for U.S. companies that want to be listed on a national exchange. It is a registration statement for a company that is usually filed in connection with an IPO (initial public offering).

SEC Form N-1A is a regulatory document required to form an open-ended fund, like an Exchange Traded Fund or a Mutual Fund. In the U.S. Funds may only offer shares to the public once approval has been received.

Look for more posts in coming days, weeks and months on Search capabilities of EDGAR along with analysis and recommendations on upcoming IPO's and ETF's.