SEC disclosure glossary
- Accession number
- The SEC identifier for a particular submission. It identifies a document event, not an issuer or financing round. SEC source documentation
- CIK
- The SEC identifier for a filer. One filer can submit notices for multiple offerings. SEC source documentation
- Initial notice
- A stored notice classified as an original submission, rather than an amendment. SEC source documentation
- Amendment
- A later submission that changes or updates an earlier notice. It can repeat previously disclosed amounts. SEC source documentation
- Offering amount
- The offering size reported in a disclosure; it is not proof that this amount was received. SEC source documentation
- Amount sold
- The amount reported sold as of the disclosure. It is not independently verified cash received. SEC source documentation
- Indefinite amount
- An explicit source value that does not supply a finite numeric offering size. SEC source documentation
- Missing value
- A field unavailable in the stored observation. Missing values are not numeric zero. SEC source documentation
- Reported zero
- An explicit numeric zero. It remains distinct from an empty or undisclosed field. SEC source documentation
- Investor count
- A count reported on a particular disclosure, with the same source and timing limitations as other fields. SEC source documentation
- Minimum investment
- A minimum amount reported for an investor. It is not an average investor contribution. SEC source documentation
- Sales commission
- Compensation disclosed for sales activity; preserve any source estimate qualifier. SEC source documentation
- Finder fee
- A separately reported compensation field. Its availability and meaning come from the source notice. SEC source documentation
- Exemption
- A provision identified by the filer. Displaying it does not independently establish legal compliance. SEC source documentation
- Pooled Investment Fund
- An issuer-reported industry category, rather than an independent classification of investment merit. SEC source documentation
- Business address
- The address supplied for the issuer; it does not establish investor residence or where capital is deployed. SEC source documentation
- Jurisdiction
- A reported legal jurisdiction, which can differ from the business address. SEC source documentation
- Form C
- A crowdfunding disclosure family. Initial notices, amendments and reports are different submission types. SEC source documentation
- Regulation A filing
- A submission in the Reg A disclosure family. Its filing alone does not establish qualification or successful fundraising. SEC source documentation
- Form ADV
- Investment adviser disclosures. Reported regulatory assets under management are not Form D offering proceeds. SEC source documentation
- Source snapshot
- A retained set of inputs and definitions used to reproduce a particular calculation. SEC source documentation
- Coverage
- Which records are stored and checked against a defined source universe. Earliest and latest dates alone do not prove completeness. SEC source documentation
- Median
- The midpoint of usable observations. It describes the selected sample, including the stated missing-data exclusions. SEC source documentation
- Percentage point
- The arithmetic difference between two percentages, distinct from percentage change. SEC source documentation
- Distinct issuer count
- The number of unique stored CIKs. Counts across groups or months cannot always be added without duplication. SEC source documentation