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Researching Investments

Researching investments is part of an investor’s due diligence. Companies must provide certain information when they initially offer stocks or bonds for sale to the public. Companies and bond issuers must also must provide certain information to the public periodically. These disclosures provide investors with information to judge whether a particular security is a good investment. If a company is not registered with the SEC, or a bond issuer is not registered with the Municipal Securities Rulemaking Board (MSRB), it could be a red flag. Scams often involve unregistered companies.

Ask and Check - Research Investment Products and Professionals

Using EDGAR - Researching Public Companies

Using EMMA - Researching Municipal Securities and 529 Plans

How to Read a 10-K

How to Read an 8-K

Insider Transactions and Forms 3, 4, and 5