Investing Answers Building and Protecting Your Wealth through Education Publisher of The Next Banks That Could Fail
Investing Answers Building and Protecting Your Wealth through Education Publisher of The Next Banks That Could Fail

SEC Form 10-Q

What it is:

SEC Form 10-Q is a quarterly performance report that public companies must submit to the SEC.

How it works (Example):

The 10-Q is just one of many forms a company that is publicly traded in the U.S. must file with the SEC. The main components include:

  •     Management's discussion and analysis of the company financial statements
  •     Financial statements for the quarter (unaudited)
  •     Notes to the financial statements

Why it Matters:

The 10-Q provides an intermittent snapshot of how a company did over the previous three months. This allows investors to keep tabs on a company's progress during the year rather than being subjected to surprises at the end of the fiscal year, when the company files its 10-K.

SEC regulations S-X and S-K (as well as the instructions to the 10-Q form itself) dictate the specific elements, presentation and disclosure requirements of the 10-Q. Companies typically file their 10-Qs within 45 days of the end of the quarter, though this varies with the size of the company in accordance with SEC rules.

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