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Securities Law & Regulation: Practice Tools & Filings

Secondary sources and primary laws. Information on federal agencies and special interest groups. Securities filing search.

Resources for Securities Practice

SEC Filings (EDGAR)

Looking at EDGAR (or SEC) filings is a great way to find precedent language for all types of transactions.

Commonly sought Filings:

  • S-1     General Registration
  • 8-K     Current Report
  • 10-K  Annual Report

Commonly searched Exhibits:

  • Plan of Acquisition/Reorganization (Exh. 2)
  • Articles & By-Laws (Exh. 3)
  • Material Contracts (Exh. 10)