EDGAR Guidance
June 14, 2024
There are a wealth of resources across the SEC to assist filers. Here you are able to find EDGAR guidance by:
Find guidance by filer type
Asset-backed securities issuers
Broker-dealers
- Broker dealers—comprehensive gateway to guidance from the Division of Trading and Markets
- Electronic Filing of Broker-Dealer Annual Reports
- Procedures for Broker-Dealers to Obtain EDGAR Access Credentials for Submission of X-17A-5 Part III Annual Reports and Amendments
- Electronic Filing of Broker-Dealer Annual Reports—Step-by-step guide for EDGAR
- Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122)
Investment companies
- EDGAR Filing of Certified Shareholder Reports by Registered Management Investment Companies—Frequently asked questions
- Division of Investment Management: Frequently Asked Questions About Form 13F
- Instructions to Form CRS
- Electronic Filing for Investment Advisers on IARD: Forms, Policy, and Law
- Frequently Asked Questions on Form ADV and IARD
Small businesses/entities
- Filing a Form D notice
- Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
- Amendments to Regulation A: A Small Entity Compliance Guide
- Operating Company Inline XBRL Filing of Tagged Data—A Small Entity Compliance Guide for Issuers
- Interactive Data for Financial Reporting—A Small Entity Compliance Guide
Transfer agents
- Transfer agents—comprehensive gateway to guidance from the Office of Trading and Markets
- EDGAR Form TA-1 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-2 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-W XML Technical Specification (Version 1)
Find guidance by SEC division or office
Division of Corporation Finance
- Staff Guidance for EDGAR Filings for Asset-Backed Securities Issuers
- Filing and Amending a Form D Notice
- Division of Corporation Finance Guidance on Form D Filing Process
- Guide to Definitions of Terms Used in Form D
- Staff Guidance: Form D Compliance and Disclosure Interpretations (Section 130)
- Amendments to Regulation A: A Small Entity Compliance Guide
- Section 16 Electronic Reporting Frequently Asked Questions
- Interactive Data for Financial Reporting—A Small Entity Compliance Guide
- Operating Company Inline XBRL Filing of Tagged Data—A Small Entity Compliance Guide for Issuers
Division of Investment Management
- Division of Investment Management: Frequently Asked Questions About Form 13F
- EDGAR Filing of Certified Shareholder Reports by Registered Management Investment Companies—Frequently asked questions
- Electronic Filing for Investment Advisers on IARD: Forms, Policy, and Law
- Frequently Asked Questions on Form ADV and IARD
- Instructions to Form CRS
- Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
- Notice and FAQ’s: Mandatory Series and Class (Contract) Identifiers
- Registrants with Greater than 99 Series [Form N-SAR]
- 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 FAQ's
Division of Trading and Markets
- Broker dealers—comprehensive gateway to guidance from the Division of Trading and Markets
- EDGAR Form TA-1 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-2 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-W XML Technical Specification (Version 1)
- Electronic Filing of Broker-Dealer Annual Reports
- Electronic Filing of Broker-Dealer Annual Reports—Step-by-step guide for EDGAR
- Procedures for Broker-Dealers to Obtain EDGAR Access Credentials for Submission of X-17A-5 Part III Annual Reports and Amendments
- Question and Answer Regarding the Broker-Dealer Customer Identification Program Rule (31 CFR 103.122)
- Transfer agents—comprehensive gateway to guidance from the Office of Trading and Markets
- Tips for Filing Form 17(H) in EDGAR
- Formatting PDFs for EDGAR
EDGAR Business Office
- How Do I--Getting started and becoming expert with EDGAR Filing
- EDGAR Filer Manual
- EDGAR Technical Specifications--Current and draft
- EDGAR Calendar—Federal Holidays and peak filing dates
Find EDGAR guidance by form
Form 1-A
Section 16 reports on forms 3, 4, & 5
Form 8-K
- Final Rule: Additional Form 8-K Disclosure Requirements and Acceleration of Filing Date
- Current Report on Form 8-K—Frequently asked questions
Form 13-F
Form 17 H
Form ADV and IARD
Form CRS
Form D
- Division of Corporation Finance Guidance on Form D Filing Process
- Filing a Form D notice
- Filing and Amending a Form D Notice—compliance guide
- A copy of Form D, including instructions to the form
- Guide to Definitions of Terms Used in Form D
- Staff Guidance: Form D Compliance and Disclosure Interpretations (Section 130)
Form N-1A, N-3, N-4, or N-6 (S/C funds)
Form N-CSR
Form N-SAR
Forms TA-1, TA-2, and TA-W (transfer agents)
- EDGAR Form TA-1 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-2 XML Technical Specification (Version 3.2.0)
- EDGAR Form TA-W XML Technical Specification (Version 1)
Form X-17A-5, Part III
Last Reviewed or Updated: June 18, 2024