SEC Resources: Rules, Regulations and FAQs

Stay on top of new rules and ongoing investigations at the Securities and Exchange Commission (SEC), from the 1933 Securities Act to the Electronic Data Gathering, Analysis and Retrieval (EDGAR) system with our comprehensive list of resources.

SEC Statutes and Rules

Securities Act of 1933 – 17 CFR, part 230 (Index);PDF

Securities Act of 1934 – 17 CFR, part 240 (Index) ;PDF

Trust Indenture Act of 1939 – 17 CFR, part 260 (Index) ;PDF
Investment Company Act of 1940 – 17 CFR, part 270 (Index) ;PDF
Investment Advisers Act of 1940 – 17 CFR, part 275; PDF
Securities Investor Protection Act of 1970 – 17 CFR, part 300 (Index) ;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 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

Reference

Corporate Finance Reference

 

SEC Regulations

Regulation A Conditional Small Issues Exemption from Registration Under the Securities Act of 1933.
Regulation C– Registration

General Requirements

Form and Content of Prospectuses

Written Consents

Filings; Fees; Effective Date

Amendments; Withdrawals

Investment Companies; Business Development Companies

Registration by Foreign Governments or Political Subdivisions Thereof

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

229.601 – (Item 601 Exhibits)

Q&A

Regulation S-T

Graphic and Image Material Regulation

Regulation S-X

 

SEC Guidance and FAQs

 

Interactive Data

XBRL

EDGAR XBRL Validation Errors and Warnings

Staff Interpretations and FAQ

 

Corporation Finance Guidance

CF Guidance: Form D Filing Process

CF Guidance: Filing Date Adjustments, PACs, Deletions, Withdrawals, Hardship Exemptions

Form ID and Other EDGAR Forms

Form D

Electronic Form ID FAQs

Section 16 Electronic Reporting FAQs

General Guidance

 

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

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

Small Businesses

 

SEC Regulatory Development

Final Rules

Interim Final Temporary Rules

Proposed Rules

Press Releases

Speeches and Public Statements

 

SEC Information for EDGAR Filers

Filer Manual and Technical Specifications

SEC General Information

Forms

 

General Information

EDGAR Filer Websites

Calendar of Federal Holidays

Electronic Filing and the EDGAR System: A Regulatory Overview

Standard Industrial Classification (SIC) Codes

EDGAR Dissemination System

EDGAR News & Notices

Contact the SEC