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SEC Resources

Access the most current SEC disclosure regulations, rules and FAQs

Stay on top of new rules and ongoing investigations at the Securities and Exchange Commission (SEC) with our comprehensive list of resources for SEC compliance. We’ve also prepared an extensive set of XBRL Resources and SEC EDGAR Resources to support you with your regulatory filings.

SEC Regulatory Development

View the SEC’s final, interim and proposed rules as well as announcements and statements concerning the state of the markets and the regulatory agenda around SEC filings and requirements.

SEC Final Rules
SEC Interim Final Rules
SEC Proposed Rules
SEC Press Releases
SEC Speeches and Public Statements

SEC Statues and Rules

Review details on rules, schedules and studies as they relate to key acts—such as Sarbanes-Oxley, Dodd Frank, and JOBS—and rule making for SEC compliance.

Securities Act of 1933

17 CFR, part 230 (Index)

Securities Act of 1933 (PDF)

Securities Act of 1934

17 CFR, Part 240 (Index)

Securities Act of 1934 (PDF)

Trust Indenture Act of 1939

17 CFR, Part 260 (Index)

Trust Indenture Act of 1939 (PDF)

Investment Company Act of 1940

17 CFR, Part 270 (Index)

Investment Company Act of 1940 (PDF)

Investment Advisers Act of 1940

17 CFR, Part 275
Investment Advisers Act of 1940 (PDF)

Securities Investor Protection Act of 1970

Securities Investors Protection Act Of 1970 (PDF)

SEC Spotlight on Public Company Accounting Reform and Corporate Responsibility Act of 2002

(Sarbanes-Oxley Act of 2002)

SEC Spotlight on Dodd-Frank Wall Street Reform and Consumer Protection Act

(Dodd-Frank Act of 2010)

SEC Spotlight on Jumpstart our Business Startups Act

(JOBS Act of 2012)

You can find other frequently requested material related to SEC filings in the CFR at:

17 CFR, Part 200 – General SEC Rules

(includes organization of SEC, codes of conduct and ethics; information requests)

17 CFR, Part 201 – SEC Rules of Practice

17 CFR, Part 202 – Informal Procedures

17 CFR, Part 203 – Investigations

Researching The Federal Securities Laws Through The SEC Website

Corporate Finance Reference

SEC Guidance and FAQs

Learn the latest requirements around disclosures and filings as they relate to corporation finance.

CF Guidance: Filing Date Adjustments, PACs, Deletions, Withdrawals, Hardship Exemptions
CF Guidance: Form D Filing Process
Electronic Form ID FAQs
Section 16 Electronic Reporting FAQs
CF Compliance and Disclosure Interpretations
Small Businesses
SEC Forms List

Investment Management Guidance

Learn the latest requirements around disclosures and filings as they relate to investment management.

Small Entity Compliance Guide: Mandatory Electronic Submission of Applications for Orders under The Investment Company Act and Filings Made Pursuant to Regulation E
Series and Class (Contract) Notice and FAQs
CO-Reg Filings with S/C IDS
IM EDGAR Post-Acceptance Corrections
FAQ: EDGAR Filing of Certified Shareholder Reporters by Registered – Management Investment Companies
Investment Management Topical Reference Guide

Information For SEC EDGAR Filers

Ensure the most up-to-date regulatory disclosure with the following resources intended to assist with your SEC EDGAR filing.

Everything EDGAR
Guidance for Filers
EDGAR Filer Manual
EDGAR Technical Specifications
New EDGAR Users
EDGAR Company Database Search

SEC Regulation

Gain access to critical information about the latest regulations—from general requirements, exemptions and amendments to filings, fees and effective dates—to ensure complete SEC compliance.

SEC Resources: Rules, Regulations and FAQs

Regulation A – Conditional Small Issues Exemption from Registration under The Securities Act of 1933

Regulation C – Registration

Regulation CE– Coordinated Exemptions for Certain Issues of Securities Exempt under State Law

Regulation D- Rules Governing The Limited Offer and Sale Of Securities without Registration under The Securities Act of 1933

Regulation FD

Regulation M-A- Mergers and Acquisitions