The investment banking interview question we’re going to go over today is “What are the major SEC filings”. Now the SEC has a lot of filings. Even though it’s unsaid in the question, you should know without asking that this question is talking about the filings that public companies make. So limit your answer to only corporate filings. That’s what the interviewers are asking even if they’re not specifying it. Here’s what you can say.
“There are three major SEC filings that we use on a day-to-day basis: the 10-K, 10-Q, and the 8-K. The 10-K is the annual report and provides a comprehensive overview of the company, such as what the business does, the risks, and the financials. The 10-Q is the quarterly report that public companies file every 3 months. It provides the investment community with a quarterly performance update. The 8-K is the current report. Companies file this report with the SEC whenever something important happens to keep the public in the loop. These are the most important filings.”
That’s how you’d answer this question: “What are the major SEC filings”. The SEC has a lot of filings. You don’t need to go through every one of them. Especially for entry level investment banking interviews, you just want to touch upon the three main ones: 10-K, 10-Q, and 8-K.