SEC Statutes and Rules
- Securities Act of 1933 – 17 CFR, part 230 (Index)
- Securities Act of 1934 – 17 CFR, part 240 (Index)
- Trust Indenture Act of 1939 – 17 CFR, part 260 (Index)
- Investment Company Act of 1940 – 17 CFR, part 270 (Index)
- Investment Advisers Act of 1940 – 17 CFR, part 275;
- Securities Investor Protection Act of 1970 – 17 CFR, part 300 (Index)
You can find other frequently requested material 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 Regulations
- Regulation A – Conditional Small Issues Exemption from Registration Under the Securities Act of 1933.
- Regulation C
- 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 M-A – Q&A
- Regulation S-K
- Regulation S-T
- Regulation S-X
SEC Guidance and FAQs
Interactive Data
- Interactive Data Rules – Compliance and Disclosure Interpretations (“C&DIs”)
- SEC EDGAR XBRL Validation Errors
- SEC EDGAR XBRL Validation Warnings
- Staff Interpretations and FAQ
Corporation Finance Guidance
- EDGAR FAQs
- Division of Corporation Finance Guidance: Form D Filing Process
- Section 16 Electronic Reporting FAQs
- Division of Corporation Finance: Compliance and Disclosure Interpretations
- Small Businesses
- SEC Forms List
Investment Management Guidance
- Small Entity Compliance Guide: Mandatory Electronic Submission of Applications for Orders under The Investment Company Act and Filings Made Pursuant to Regulation E
- Obtain and update investment company series and class IDs
- FAQ: EDGAR Filing of Certified Shareholder Reporters by Registered – Management Investment Companies
- Investment Management Topical Reference Guide
SEC Regulatory Development
- SEC Final Rules
- SEC Interim Final Temporary Rules
- SEC Proposed Rules
- SEC Press Releases
- SEC Upcoming Events
- SEC Speeches and Public Statements
SEC Information for EDGAR Filers
- Information for Filers
- EDGAR Filer Manual
- EDGAR Technical Specifications
- Additional EDGAR Guidance
- EDGAR Company Database Search