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• Ask your investment professional if the company files reports with the SEC and to get you written information about the company and its business, finances, and management.
• From the company Ask the company if it is registered with the SEC and files reports with us. If the company is small and unknown to most people, you should also call your state securities regulator to get information about the company, its management, and the brokers or promoters who’ve encouraged you to invest in the company.
• From the SEC. A great many companies must file their reports with the SEC. Using the EDGAR database, you can find out whether a company files with them and get any reports in which you’re interested. For companies that do not file on EDGAR, check with the SEC’s Public Reference Room to see whether the company has filed an offering circular under Reg A.
• From your state securities regulator We strongly urge you to contact your state securities regulator to find out whether they have information about a company and the people behind it.
• From other government regulators Many companies, such as banks, do not have to file reports with the SEC. But banks must file updated financial information with their banking regulators. Visit the Federal Reserve System’s National Information Center of Banking Information site at www.ffiec.gov/nicpubweb/nicweb/nichome.aspx, the Office of the Comptroller of the Currency at www.occ.treas.gov, or the Federal Deposit Insurance Corporation at www.fdic.gov.
• From reference books and commercial databases Visit your local public library or the nearest law or business school library. You’ll find many reference materials containing information about companies.
• The Secretary of State Where the Company Is Incorporated Contact the secretary of state where the company is incorporated to find out whether the company is a corporation in good standing. You may also be able to obtain copies of the company’s incorporation papers and any annual reports it files with the state. Please visit the National Association of Secretaries of State website at www.nass.org for contact information regarding a particular Secretary of State.

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