Annual reports to stockholders must also contain management's discussion and analysis of the firm's financial condition and results of operations. Information contained therein includes discussions of the firm's liquidity, capital resources, results of operations, any favorable or unfavorable trends in the industry, and any significant events or uncertainties.
Australian Charities and Not-for-profits Commission
Other information to be included in annual reports to stockholders includes a brief description of the business covering such matters as main products and services, sources of materials, and status of new products. Directors and officers of the corporation must be identified. Specific market data on common stock must also be supplied. Private companies that wish to become publicly owned must comply with the registration requirements of the SEC.
In addition, companies floating new securities must follow similar disclosure requirements. The required disclosures are made in a two-part registration statement that consists of a prospectus as one part and a second section containing additional information. The prospectus contains all of the information that is to be presented to potential investors.
It should be noted that SEC rules and regulations governing registration statements are subject to change.
Is a Private Company Required to Disclose Financial Information to the Public?
In order to meet the disclosure requirements of new issue registration, companies prepare a basic information package similar to that used by publicly owned companies for their annual reporting. The prospectus, which contains all information to be presented to potential investors, must include such items as audited financial statements, a summary of selected financial data, and management's description of the company's business and financial condition. The statement should also include a summary of the company's material business contracts and list all forms of cash and noncash compensation given to the chief executive officer CEO and the top five officers.
Compensation paid to all officers and directors as a group must also be disclosed. In essence, a company seeking to go public must disclose its entire business plan.
Additional disclosure laws apply to the securities industry and to the ownership of securities. Officers, directors, and principal stockholders defined as holding 10 percent or more of the company's stock of publicly owned companies must submit two reports to the SEC. These are Form 3 and Form 4.
Corporation income tax return
Form 3 is a personal statement of beneficial ownership of securities of their company. Form 4 records changes in such ownership.
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These reporting requirements also apply to the immediate families of the company's officers, directors, and principal stockholders. Individuals who acquire 5 percent or more of the voting stock of a SEC-registered company, meanwhile, must also submit notification of that fact to the SEC. Securities broker-dealers must provide their customers with a confirmation form as soon as possible after the execution of an order.
These forms provide customers with minimum basic information required for every trade.
Reading Financial Reports For Dummies, 3rd Edition
Broker-dealers are also responsible for presenting the prospectus to each customer for new securities issues. Finally, members of the securities industry are subject to reporting requirements of their own self-regulating organizations. Companies House Provides access to UK corporate filings. Financials for 10 years are "as reported".
Unique attributes such as financial footnotes regarding stock options, pension plans and accounting policy changes are included.
US company filings. Only works with Internet Explorer IE.
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Scroll down and in the lower right under Investment Styles select Growth Companies. Crunchbase A good source for discovering current information and data for company and industry intelligence. Subjects: Business , Business and Management. Below is a listing of some of these sites. Depending on what type of financial information you're looking for, you may be able to find it on a company's own site.
Look for the area of the company's site that contains information for investors. Securities and Exchange Commission. These include:. There are numerous e-books in the UMGC Library's e-book databases that can help you interpret company financial data. You can find these books by using the search box on the E-Books tab on the Library's home page to run searches such as:.
Student Login Faculty Login. Finding Company Financial Information in Databases Business Insights: Essentials Click on any of the financial reports links on the database's home page or select Financial Reports from the drop-down menu available from the Companies link. After clicking on the company's name on the search results page, click on the Company Financials tab on the company information page: For help using Mergent Online, click on the Help link in the upper right-hand corner of the database.