Filings & regulation
Regulatory filing
A document a company or investor is legally required to submit and make public.
How it works
Filings are the primary source. Everything in financial media about a company ultimately derives from them, usually with detail removed.
They are freely available: EDGAR in the United States, the National Storage Mechanism in the UK, and equivalents elsewhere.
Related terms
- Annual reportA company’s comprehensive yearly filing, including audited accounts and a discussion of risks.
- Form 13FA quarterly disclosure of US equity holdings by institutions managing over $100 million.
- Material event filingA filing disclosing a significant event promptly, outside the normal reporting schedule.
- Insider dealing and disclosureTrading by company insiders, which is legal when disclosed and illegal when based on private information.
Mentioned in
More in Filings & regulation
- Suitability and appropriateness
- Financial statements
- Know your customer
- Investor compensation scheme
- Institutional investor
All 12 Filings & regulation terms · The full glossary, 433 terms
Educational reference only. Nothing here is investment advice or a recommendation to buy or sell anything, and tax treatment depends on your own circumstances and the country you are in.