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Researchers and Librarians - Easy Access to Selected Securities and Investor Information at the SEC

Spotlight on Topics of Current Issues at the SEC 

Hedge Funds, Sarbanes-Oxley, and more http://www.sec.gov/spotlight.shtml 

Official Documents and Reports 

Releases 

Press Releases http://www.sec.gov/news/press.shtml

Rulemaking http://www.sec.gov/rules.shtml

No Action Letters, Staff Accounting Bulletins, Staff Legal Bulletins http://www.sec.gov/interps.shtml

Reports 

Special Studies http://www.sec.gov/news/studies.shtml

Annual Report of the SEC http://www.sec.gov/about/annrep.shtml

SEC Strategic Plan http://www.sec.gov/about/secstratplan1015.htm

Litigation, Decisions, Opinions, Enforcement Cases 

Enforcement actions, opinions, briefs, trading suspensions, investors claims funds http://www.sec.gov/litigation.shtml

Annual compilation of enforcement cases by category in the appendix of the SEC Annual Report http://www.sec.gov/about/annrep.shtml

Accountants and Auditors 

Information on the SEC’s website for accountants and auditors http://www.sec.gov/about/offices/oca.htm 

Laws, Rules, Regulations 

Rules and regulations are generally at volume 17 of the Code of Federal Regulations (17 CFR) http://www.fdsys.gov

Federal Securities Laws http://www.sec.gov/about/laws.shtml

Securities Lawyer’s Deskbook http://www.law.uc.edu/CCL/index.html

Researching Federal Securities Laws 

Researching the Federal Securities Laws Through the SEC Website http://www.sec.gov/investor/pubs/securitieslaws.htm

Finding Company Information 

EDGAR (SEC’s Online Database of Company Reports) http://www.sec.gov/edgar.shtml

How to Use EDGAR http://www.sec.gov/edgar/quickedgar.htm

Corporate Reports, How to Get http://www.sec.gov/answers/companyinfo.htm

Info About Some Companies Not Available at SEC http://www.sec.gov/answers/noinfo.htm

Researching Public Companies Through EDGAR: A Guide for investors http://www.sec.gov/investor/pubs/edgarguide.htm

Investor Information by Topic 

http://www.investor.gov 

Investor Education Publications http://www.sec.gov/investor/pubs_subject.shtml

Calculators for Investors http://www.sec.gov/investor/tools.shtml

Check Out Your Broker http://www.sec.gov/investor/brokers.htm

How to File a Complaint with the SEC

SEC Center for Complaints and Enforcement Tips http://www.sec.gov/complaint.shtml

Questions and Comments 

https://tts.sec.gov/oiea/QuestionsAndComments.html


The Office of Investor Education and Advocacy has provided this information as a service to investors. 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, please consult with an attorney who specializes in securities law.

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