How Do I Guides Sec Gov

Bonisiwe Shabane

-Oct 30, 2025, 10:08 PM

These topics serve as basic resources to help filers understand the EDGAR system. They are not definitive resources or a substitute for the EDGAR Filer Manual, and filers should consult it before making any filings with EDGAR. Create Asset-Backed Securities (ABS) Issuing Entities Obtain and Update Investment Company Series and Class IDs Prepare, Save, and Attach an Organizational Chart Save Authenticating Document as a PDF file in Adobe Acrobat OR Reader

Enrollment in the SEC’s new EDGAR Next system is required for all filers by September 12, 2025. Whether you file directly or through a service provider, enrollment is necessary to retain access and continue making submissions. This step-by-step guide walks you through the EDGAR Next enrollment process, including everything you need to gather, configure, and complete. If you are responsible for submitting filings through EDGAR—or represent someone who is—you must enroll in EDGAR Next. This includes: Individuals who file beneficial ownership reports

Law firms, compliance consultants, and filing agents managing client filings Why this is the official SEC support site: • This website uses a secure .gov domain, indicating it's an official U.S. government organization • All communications are encrypted and secure • Direct integration with official SEC databases and systems

• Staffed by certified SEC representatives and compliance experts This guide provides an overview of how to research the securities law through the SEC website and is provided as a service to investors and members of the public. It is neither a legal interpretation nor a statement of SEC policy. If you have questions concerning the meaning or application of a particular law or rule you should consult with an attorney who specializes in securities law. This guide does not address primary and secondary sources available in print or through other websites, other than those to which the SEC website links. The guide is organized by providing suggestions for the research of:

In general, you should conduct your research on the federal securities laws in the order prescribed above. This is because while the federal statutes and the SEC rules and regulations have the force of law, other SEC-issued documents vary in the degree to which they carry the force of law. SEC Staff documents have no legal force or effect: they do not alter or amend applicable law, and they create no new or additional obligations for any person. Major pieces of legislation, such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940, provide the framework for the SEC's oversight of the securities... These statutes are broadly drafted, establishing basic principles and objectives. The laws that govern the securities industry include:

You can find general descriptions of the objectives of each of these statutes in the “About the SEC” section of our website. The web pages of the Division of Investment Management and the Division of Corporation Finance also provide links to the federal securities laws and regulations that relate to the areas that each Division oversees. TIP: The SEC website links to the text of the federal securities laws provided by the House Committee on Financial Services. The texts include references to the United States Code (U.S.C). U.S.C. citations are the official citations for federal laws.

You can find the securities laws in Title 15 of the U.S.C. For example, the Securities Act of 1933 is 15 U.S.C. § 77a et seq.; the Securities Act of 1934 is 15 U.S.C. § 78a et seq.; the Investment Company Act of 1940 is 15 U.S.C. § 80-1 et seq.; and the Investment Adviser Act is 15 U.S.C. §80b-1 et seq.

The Securities & Exchange Commission is responsible for administering the Federal securities laws. In doing so, the commission promulgates rules (regulations), issues decisions, and releases a variety of pronouncements and guidance documents. Bloomberg's Practical Guidance Library provides a useful hierarchy of authority for the following regulatory sources of Securities Law: SEC regulations are first published in the Federal Register then codified in Title 17 of the Code of Federal Regulations. Like with statutory research, practitioners do not refer to regulations by CFR citation; instead they refer to individual rule by number (e.g., Rule 10b-5) and groups of related rules by name (e.g., Regulation D). Therefore, it is more efficient to research regulations in securities targeted sources, including Wolters Kluwer's Federal Securities Law Reporter and Bloomberg's Securities Practice Center.

Some of the more commonly cited regulations and their CFR citations include: EDGAR filers interact with EDGAR through three websites—EDGAR Filer Management, EDGAR Filing, and EDGAR Online Forms. Each website offers EDGAR filers different functionality. Consult this How Do I guide to be sure you use the correct website for your filing needs. EDGAR is available for filing from 6:00 a.m. to 10:00 p.m.

ET, Monday through Friday, except federal holidays. Apply for access to file on EDGAR on Form ID. If an entity or individual seeks access to file electronically on EDGAR, an individual authorized by the entity or individual must complete and submit the Form ID application for access on the dashboard of... See How Do I Prepare and Submit My Form ID Application for Access. Manage a filer’s EDGAR account. Account administrators for a filer can manage the filer’s EDGAR account on the dashboard of the EDGAR Filer Management website.

See the How Do I Guides related to the topic Manage the Filer’s Account on the Dashboard. Reset the filer's CCC. On the dashboard of the EDGAR Filer Management website, filers can reset their CCC. Review these How Do I guides that cover basic topics to help filers better understand the EDGAR filing system. Find EDGAR guidance by filer type, SEC division or office, or form. Contains the requirements for becoming an EDGAR filer and the necessary information to ensure timely acceptance and processing of filings.

Summarizes common terms, acronyms, and abbreviations used in the EDGAR Filer Manual and other materials to assist filers with the submission process. Find a listing of codes identifying the state or country used by filers in particular submissions. These codes can be useful in EDGAR company searches. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Find registration statements, periodic reports, and other forms by typing the name or ticker symbol of a company (CIK lookup info) (confidential treatment orders) (SEC correspondence with issuers) Some specific ways to access filings based on time, type, or other categories.

Find keywords and phrases in more than 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week. Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to... We work together to make a positive impact on America’s economy, our capital markets, and people’s lives. The SEC engages in rulemaking through a transparent process guided by the Administrative Procedure Act and informed by public comment.

Members of the public are invited to share comments on proposed rulemakings. At Investor.gov, the SEC provides investors with the resources to make informed investment decisions.

How Do I Guides Sec Gov

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