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