Library Express Help: SEC Filings

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[edit] About the SEC Filings Search Form

The SEC Filings search form is located in the Companies section of LexisNexis Library Express. On this form you can accomplish various tasks such as:

  • Find a SEC Annual Report for a specific company
  • Browse SEC Reports for companies in a particular state
  • Browse SEC Reports by address

[edit] Search For

[edit] Search Terms

Sometimes called "keywords," the terms you enter in the text box will be matched against terms that occur in documents when your search is run. There are a few things you should know about entering terms on this form:

  • Implied adjacency -- if you enter two or more words in the same box (with no connector), LexisNexis will assume you want to find documents in which those words occur together and in order. Entering "hot dog" will only find documents that mention hot dogs. Entering "hot AND dog" will find any document that has both these words, for example a story about a dog on a hot day.
  • Automatic pluralization -- LexisNexis automatically searches plural forms of most nouns. You do not need to use wildcard characters to search for "dog" and "dogs," simply enter "dog" and LexisNexis will find both variations.

[edit] Restrictions

The default "Everywhere" option in the drop down boxes at right will run a full-text search for the term(s) you have entered. In some cases, you will get a much better result by restricting the search using one of the choices in the drop down box. For example, if you wanted to find SEC Filings from Microsoft, it would be much better to type "Microsoft" and select "Company" from the drop-down box:

  • Everywhere -- as the name implies, this option searches the full text of all documents
  • Company -- searches only for words in the company field
  • Ticker -- use the ticker symbol of a company
  • Address -- search by street, building, or city

These are only the most commonly used types of restrictions. For more ways to focus your search, see the article on Library Express Document Sections and navigate to the Power Search form.

[edit] Connectors

The second and third input rows of in the Search For section start with a drop down box that lets you choose connectors when you have entered terms on more than one row. The connectors are:

  • And
  • Or
  • Not
  • Within 5 words of
  • In Same Sentence as
  • In Same Paragraph as

For an explanation of how these and the other available connectors work, and to learn about search techniques, see the article on Boolean Searching.

[edit] Specify Date

One of the most efficient ways to narrow your results set is by specifying the date. If you're researching a current event, try narrowing the date to the last 6 months. If you're researching a past event, use the "Is Between..." option to set the dates yourself. Choosing a time period to search through will change your results drastically. You will be much more likely to find relevant results.

[edit] Select Source

On the SEC Filings search form, simply click the check boxes of those sources you'd like to search. For a more detailed explanation of the forms, visit our SEC Filings article.

Your other option is to use the "Edit in Power Search" link to navigate to the Power Search form. From there, you can do things like use the PUBLICATION() string to search one single, specific publication.

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