Project: SEC CIK Lookup Module

What is the SEC

The U.S. Securities and Exchange Commission (SEC) plays a crucial role in the United States government. Its primary mission is threefold:

1. Protect Investors: The SEC ensures that investors receive accurate and complete information about securities being offered for public sale. This helps investors make informed decisions.

2. Maintain Fair, Orderly, and Efficient Markets: The SEC oversees the securities markets to ensure they operate smoothly and fairly, preventing fraud and manipulation.

3. Facilitate Capital Formation: By regulating the securities industry, the SEC helps businesses raise capital, which is essential for economic growth and job creation.

The SEC was established in response to the stock market crash of 1929 and the subsequent Great Depression. It enforces federal securities laws and regulates securities exchanges, brokers, and dealers.

Is there a specific aspect of the SEC’s work you’re interested in learning more about?

Quarterly and Annual Company Reports

Form 10-K

• Annual Report: The 10-K is a comprehensive annual report that provides a detailed overview of a company’s financial performance over the past fiscal year.

• Contents: It includes information such as the company’s history, organizational structure, financial statements, earnings per share, subsidiaries, executive compensation, and any other relevant data.

• Purpose: This form is essential for investors as it offers a thorough understanding of the company’s operations, financial condition, and risks.

Form 10-Q

• Quarterly Report: The 10-Q is a quarterly report that provides a detailed overview of a company’s financial performance over the past quarter.

• Contents: It includes financial statements, management’s discussion and analysis (MD&A), disclosures about market risk, internal controls, and any other relevant data for the quarter.

• Purpose: This form is essential for investors as it offers timely updates on the company’s financial condition, operations, and any significant changes or events that occurred during the quarter.

What is a CIK?

The Central Index Key (CIK) is a unique identifier assigned by the U.S. Securities and Exchange Commission (SEC) to entities and individuals who file disclosures with the SEC. This includes companies, filing agents, and even foreign governments. The CIK is used within the SEC’s EDGAR (Electronic Data Gathering, Analysis, and Retrieval) system to track and manage filings.

If you need to look up a specific CIK, you can use the SEC’s CIK Lookup tool.