SEC Resources

Stay on top of new rules and ongoing investigations at the SEC with our comprehensive list of resources for SEC compliance. We have 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 Statutes and Rules

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

Securities Act of 1933

Securities Act of 1934

Trust Indenture Act of 1939

Investment Company Act of 1940

Investment Advisers Act of 1940

Securities Investor Protection Act of 1970

Sarbanes-Oxley Act of 2002

Dodd-Frank Act of 2010

JOBS Act of 2012

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

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

SEC Guidance and FAQs

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

Investment Management Guidance

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

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.

SEC Regulations

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.

General Information

Gain a better understanding of the SEC EDGAR system, including SEC filing deadlines and holidays, classifications and transmission of public filings.

SEC EDGAR Resources

Stay on top of new rules and ongoing investigations at the SEC with our comprehensive list of resources for SEC…

XBRL Resources

Review the most up-to-date interactive data disclosure rules for SEC filings. Secure error-free XBRL submissions by staying abreast of the…