Refresh: Stockholdings Research: Understanding SEC Filings

Presenter: Charles Carr, Massachusetts Institute of Technology
Year: 2014 (Original Recording: 2009)
Price: Members: $49, Non-Members: $79
Body of Knowledge Alignment:
Domain: Prospect Research

Competencies and Levels: 

  • Competency 5: Financial Capacity Evaluation and Wealth Indicators

Reading and understanding individuals' stockholdings reports can be a challenge, even for experienced researchers. This session includes an overview of the essential SEC filing documents and a step-by-step examination of the most important of all, the proxy statement. Free and paid sources that will help you translate this data into a solid estimate of a prospect's wealth, both current and potential, will also be shared.

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