Research guides

Securities Law

Forms and Filings

This tab contains information about filing SEC forms under the 1933 and 1934 Acts, resources for locating sample blank SEC forms, and resources for locating a specific company's SEC filings or a completed type of SEC filing.

  • Note: For purposes of this Guide, a form is defined as the blank template used to prepare the filing. The filing is the completed form that is submitted to the SEC.

Forms Under the 1933 and 1934 Acts

For standard instructions regarding filing SEC forms under the 1933 and 1934 Securities Acts (Regulation S-K) see 17 C.F.R. Part 229. For where to find the C.F.R., see the Code of Federal Regulations guide.

Sample SEC Forms

For sample SEC forms with instructions:

Jenkins' Print Collection:

Federal Securities Law Reporter CCH

  • Location: KF1436.5 C735 (General Collection)
  • Note: Use vol. 2 for 1933 Act forms and vol. 5 for 1934 Act forms. Then see Forms tab.

Securities Regulation: Selected Statutes, Rules and Forms West

  • Location: KF1433.99 S4 (General Collection)
  • Note: Library copy last updated 2014.

Internet Resources:

Securities and Exchange Commission Forms List U.S. Securities and Exchange Commission

Further Information about Form Preparation

For further information about preparing SEC forms see below.

Jenkins' Print Collection:

Securities Filings, 2015: Practical Guidance in a Changing Environment Practising Law Institute

  • Location: KF1440 .S43 2015 (General Collection)

Securities Regulation Forms West

  • Location: KF1439 .A1c C592 v. 6 (General Collection)
  • Note: Volumes 6, 6A, 6B, and 6C of the Securities Law Series.
  • Note: Library copy last updated 2014.

Westlaw:

Securities Regulation Forms West

  • Location: Library Westlaw computers
  • Source Trail: From the All Content tab, select Forms > Securities > Securities Regulation Forms
  • Tip: Index available from the Tools & Resources box on the right.

Specific Company Filings or Specific Types of Filings

To locate filings of a specific company or a completed specific type of filing, see:

Lexis:

SEC Filings

  • Location: Librarians at Jenkins can search for a fee. Please contact Research Services at 215.574.1505 or research@jenkinslaw.org for more information.
  • Source Trail: From Legal tab, select Area of Law - By Topic > Securities > Search SEC filings > select appropriate database.
  • Note: Coverage varies by type of document.

Westlaw:

EDGAR Filings & Disclosures

  • Location: Librarians at Jenkins can search for a fee. Please contact Research Services at 215.574.1505 or research@jenkinslaw.org for more information.
  • Source Trail: From the Practice Areas tab, select Securities Enforcement & Litigation > EDGAR Filings & Disclosures (located in the Browse Securities Resources box on the right)
  • Note: 1996 - present

Internet Resources:

EDGAR Search U.S. Securities and Exchange Commission

  • Note: 1996 - present

CCH Washington Service Bureau Wolters Kluwer

  • Note: Document delivery service that will retrieve non-EDGAR and Pre-EDGAR SEC filings for a fee.´╗┐