Financial-condition grades for SEC filers
The SEC ticker file lists 10,435 tickers for 8,017 filers. 3,545 are eligible: US operating companies on an exchange, with XBRL statements and a sector code. 6,796 are excluded for one of the reasons below, and 94 could not be resolved. Every ticker has a page stating its status and the reason.
| Reason | Tickers | Rule |
|---|---|---|
| financial or reit | 2,579 | SIC 6000 to 6999: banks, insurers, brokers and REITs. Their statements do not carry the inputs the grade needs. |
| foreign issuer | 1,830 | Latest annual report is a 20-F or 40-F, or no 10-K or 10-Q on record and foreign forms present. |
| no domestic operating reports | 885 | No 10-K, 10-Q, 10-KT or 10-QT on record. |
| otc or unlisted | 853 | No exchange on the SEC record, or an OTC market. |
| registered fund | 433 | No operating reports; N-series fund forms on record. |
| registration stage | 165 | No operating reports; only S-1 or F-1 registration filings. |
| missing sic | 89 | No SIC code on the SEC record, so no sector; left unresolved. |
| ownership forms only | 51 | No operating reports; only ownership forms (3, 4, 5, 144, 13D, 13G, 13F). |
| missing companyfacts | 5 | No XBRL facts file for the CIK; left unresolved. |
2,204 of the 3,545 eligible companies carry a letter. The rest have fewer than 7 of the 14 inputs computable, or sit in a sector with fewer than 100 graded companies.
| Exchange | Eligible | Graded |
|---|---|---|
| Nasdaq | 2,161 | 1,219 |
| NYSE | 1,358 | 984 |
| None | 26 | 1 |
| Size band | Eligible | Graded |
|---|---|---|
| under $12.5M assets | 263 | 53 |
| $12.5M to $120M assets | 634 | 293 |
| $120M to $591M assets | 651 | 361 |
| $591M to $2.67B assets | 737 | 568 |
| over $2.67B assets | 1,155 | 929 |
| unassigned | 105 | 0 |
| Sector | Eligible | Graded |
|---|---|---|
| Healthcare | 879 | 371 |
| Business equipment | 707 | 497 |
| Other | 560 | 336 |
| Manufacturing | 352 | 255 |
| Shops | 305 | 258 |
| Utilities | 164 | 84 |
| Consumer nondurables | 161 | 124 |
| Energy | 134 | 64 |
| Chemicals | 102 | 76 |
| Consumer durables | 91 | 78 |
| Telecom | 90 | 61 |