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Free Tool · Tier 1 Methodology

SEC Filing Checklist

Interactive version of the Tier 1 SEC research workflow. Tag a ticker, work through three filing types (8-K, DEF 14A, S-1/S-3), and your progress saves automatically — even if you close the tab.

Switching tickers swaps in a separate saved checklist for that symbol. Leave blank for an untagged scratch pad.

Where on EDGAR: EDGAR → ticker search → Filings → filter for 8-K
Green flags to look for
  • ✓Compliance with NYSE/Nasdaq minimum price rule stated as reason
  • ✓Ratio ≥ 1:10 (the higher the better for short squeezes)
  • ✓Effective date within 1–5 trading days
  • ✓No mention of new share issuance or offering
Red flags — walk away if you see these
  • ✗Simultaneous registered direct offering (dilution event)
  • ✗Mention of ATM (at-the-market) offering program
  • ✗Very low ratio (1:2 or 1:3) — minimal price impact
  • ✗Watered-down language about 'strategic' reasons (not compliance)
Educational use only. This checklist organizes a research workflow — it does not produce a buy or sell recommendation. All filings cited (8-K, DEF 14A, S-1, S-3, 424B) are publicly available on SEC EDGAR. RSRC is not a registered investment adviser. Nothing in this tool is financial, investment, or legal advice. Always read the underlying filings yourself — this tool only points you to where they live.