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 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
- 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:
(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 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.
- 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
- Regulation S-K
- Regulation S-T
- Regulation S-X
General Information
Gain a better understanding of the SEC EDGAR system, including SEC filing deadlines and holidays, classifications and transmission of public filings.