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Investment Research: SEC Filings & Stock Market Data

This guide is designed to support the course objectives for both FINC 325: Investments and FINC 713: Investments.

  Introduction

Resources on this page will link to detailed company financial data and ratios along with SEC filings and links to sources that contain historic stock quotes.

Conference Call Transcripts

Conference calls are substantive conversations between company's upper management and investment banking analysts covering topics including:

  • Earnings announcements
  • Significant events (e.g. auditor changes, restatement of financials, change in management)
  • Changes in strategic or operational direction. 

These are recorded and transcribed, and made available from various sources, including company web sites. Companies don't always keep a backfile of these on their websites, so Factiva can be a good alternative. 

Yahoo! Finance

Yahoo! Finance offers a considerable amount of market data to users who sign up for free accounts.

Market Data from WSJMarket.com

WSJMarkets.com is nearly identical to the print version's all important: Money & Investing "section C." Look here for up-to-date and historical market data. 

SEC Filings via EDGAR

Publicly-traded companies must file financial statements with the Securities and Exchange Commission (SEC), the body that oversees all U.S. stock exchanges. The most useful is the 10-K, an official audited document that includes similar information from a prospectus or annual report, but provides additional updated financial information on corporate activities. Filings can be found at the SEC's Edgar Database.

These SEC filings are the basis for a company's annual report as well as of the financial statements found in our databases. Click here for a video tutorial on finding them. 

What's EDGAR?

EDGAR is the Securities & Exchange Commission's (SEC) public website for finding and retrieving required periodic company information filings.