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To invest wisely and avoid investment scams, research each investment opportunity thoroughly and ask questions. If you'd like to learn more about the SEC's registration and reporting requirements, read Q&A: Small Business and the SEC.  

You can get corporate reports from the following sources:  

  • The SEC  You can find out whether a company files reports by using the SEC's database known as EDGAR. For companies that do not file on EDGAR, you can contact the SEC at:  

Office of Public Reference
450 5th Street, NW, Room 1300
Washington, D.C. 20549-0102
phone: (202) 551-8090
fax: (202) 628-9001
e-mail: publicinfo@sec.gov 

  • The company  Ask the company if it is registered with the SEC and files reports with us. That information may be listed on its Web site.   

Other Types of Information 

To find out whether a company has been cleared to sell its securities in a particular state and whether it is in good standing, you can contact the following:  

  • Your state securities regulator  Contact the North American Securities Administrators Association to get the name and phone number of your state securities regulator to see if the company has been cleared to sell securities in your state.   
  • The Secretary of State where the company is incorporated  You can find out whether the company is a corporation in good standing and has filed annual reports with the state through the secretary of state where the company is incorporated. Click here to connect to The National Association of Secretaries of State's Web site for a list of most secretaries of state.  

You can find general financial information about companies from reference books and commercial databases. The SEC cannot recommend or endorse any particular research firm, its personnel, or its products. But there are a number of resources you may consult:  

  • Bloomberg News Service and Lexis/Nexis provide news stories about a company. Dun & Bradstreet, Moody's, Hoover's Profiles, and Standard & Poor's Corporate Profiles provide financial data about companies. These and other sources are available in many libraries or law and business school libraries.   

 

Mutual Funds 

 

Over the past decade, American investors increasingly have turned to mutual funds to save for retirement and other financial goals. Mutual funds can offer the advantages of diversification and professional management. But, as with other investment choices, investing in mutual funds involves risk. And fees and taxes will diminish a fund's returns. It pays to understand both the upsides and the downsides of mutual fund investing and how to choose products that match your goals and tolerance for risk. 

This brochure explains the basics of mutual fund investing — how mutual funds work, what factors to consider before investing, and how to avoid common pitfalls. 

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A financial analyst  securities analyst, research analyst, equity analyst, or investment analyst is a person who performs financial analysis for external or internal clients as a core part of the job. Financial analysis (also referred to as financial statement analysis or accounting analysis or Analysis of finance) refers to an assessment of the viability, stability and profitability of a business, sub-business or project. It is performed by professionals who prepare reports using ratios that make use of information taken from financial statements and other reports. These reports are usually presented to top management as one of their bases in making business decisions. Certification as a financial analyst requires accredited education in finance 
 
Management consulting is the practice of helping organizations to improve their performance, primarily through the analysis of existing organizational problems and development of plans for improvement. Organizations may draw upon the services of management consultants for a number of reasons, including gaining external (and presumably objective) advice and access to the consultants' specialized expertise. Becoming certified in management consulting requires proper education experience and credentials. 
 
Management accounting or managerial accounting is concerned with the provisions and use of accounting information to managers within organizations, to provide them with the basis to make informed business decisions that will allow them to be better equipped in their management and control functions. Cost accounting is a process of collecting, analyzing, summarizing and evaluating various alternative courses of action. Its goal is to advise the management on the most appropriate course of action based on the cost efficiency and capability. Cost accounting provides the detailed cost information that management needs to control current operations and plan for the future. Certification in management or cost accounting requires education and expertise in accounting. 
 

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