Document Submission to the SEC

Summary

This practice note provides an overview of the process for submitting documents to the Securities and Exchange Commission (SEC). Companies and individuals may need to submit documents to the SEC for a variety of reasons, including to register an offering of securities under the Securities Act of 1933, as amended (Securities Act) (15 U.S.C. § 77a et seq.), and to comply with the registration and reporting obligations of the Securities Exchange Act of 1934, as amended (Exchange Act) (15 U.S.C. § 78a et seq). This practice note outlines the steps required to submit documents to the SEC, including an overview of the electronic and paper submission processes.