Find EDGAR Guidance

There are a wealth of resources across the SEC to assist filers. Here you are able to find EDGAR guidance by:

• Filer type

• SEC division or office

• Form

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Find guidance by filer type

Asset-backed securities issuers

• Staff Guidance for EDGAR Filings for 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

• Notice Re: Co-Reg Filings with S/C ID's
• EDGAR Filing of Certified Shareholder Reports by Registered Management Investment Companies—Frequently asked questions
• Notice to Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers and Other Requirements Effective February 6, 2006
• Notice to Form N-1A, N-3, N-4 and N-5 Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers
• 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
• Registrants with Greater than 99 Series [Form N-SAR]
• 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)

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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

• Notice Re: Co-Reg Filings with S/C ID's
• Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
• EDGAR Filing of Certified Shareholder Reports by Registered Management Investment Companies—Frequently asked questions
• Notice to Form N-1A, N-3, N-4 and N-5 Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers
• Notice to Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers and Other Requirements Effective February 6, 2006
• Notice and FAQ’s re: Mandatory Series and Class (Contract) Identifiers
• Division of Investment Management: Frequently Asked Questions About Form 13F
• Small Entity Compliance Guide: Mandatory Electronic Submission of Applications for Orders under the Investment Company Act and Filings Made Pursuant to Regulation E
• Frequently Asked Questions on Form ADV and IARD
• Instructions to Form CRS
• Electronic Filing for Investment Advisers on IARD: Forms, Policy, and Law
• Registrants with Greater than 99 Series [Form N-SAR]
• 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

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Find EDGAR guidance by form

Form 1-A

• Amendments to Regulation A: A Small Entity Compliance Guide

Section 16 reports on forms 3, 4, & 5

• Section 16 Electronic Reporting Frequently Asked Questions

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

• Division of Investment Management: Frequently Asked Questions About Form 13F

Form 17 H

• Tips for Filing Form 17(H) in EDGAR

Form ADV and IARD

• Frequently Asked Questions on Form ADV and IARD

Form CRS

• Instructions to 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)

• Notice and FAQ’s re: Mandatory Series and Class (Contract) Identifiers
• Notice to Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers and Other Requirements Effective February 6, 2006
• Notice to Form N-1A, N-3, N-4 and N-5 Investment Company Registrants Concerning Mandatory Series and Class (Contract) Identifiers

Form N-CSR

• EDGAR Filing of Certified Shareholder Reports by Registered Management Investment Companies—Frequently asked questions

Form N-SAR

• Registrants with Greater than 99 Series [Form N-SAR]

Form SH

• Technical Guidance Regarding the EDGAR Submission of Form SH
• Special Instructions for the filing of Temporary Form SH on EDGAR (including Information Table XML Specifications)

Forms TA-1, TA-2, and TA-W (transfer agents)

• Electronic Filing of Transfer Agent Forms
• 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 

• 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