SEC Compliance Management

Comprehensive compliance management and filing support to ensure your company meets all SEC requirements and maintains good standing.

Stay Compliant, Stay Competitive

SEC compliance is not just about avoiding penalties—it's about building investor confidence, maintaining market access, and positioning your company for growth. Our comprehensive compliance management ensures you meet all requirements while optimizing your reporting strategy.

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Filing Management

Complete preparation and submission of all required SEC filings

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Deadline Tracking

Proactive monitoring and management of all compliance deadlines

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Risk Mitigation

Identify and address compliance risks before they become issues

Compliance Statistics

On-Time Filing Rate 99.8%

Zero Compliance Violations 100%

Client Satisfaction 98%

Comprehensive Compliance Services

End-to-end compliance management tailored to your company's specific needs.

Filing Preparation & Submission

✓ Complete preparation of all SEC filings
✓ EDGAR system submission and tracking
✓ Quality review and error checking
✓ Amendment preparation if needed
✓ Confirmation and follow-up

Compliance Monitoring

✓ Deadline tracking and alerts
✓ Regulatory change monitoring
✓ Risk assessment and mitigation
✓ Compliance calendar management
✓ Regular compliance reviews

Training & Education

✓ Executive team compliance training
✓ Board of directors education
✓ Insider trading policy development
✓ Disclosure controls implementation
✓ Best practices workshops

Strategic Advisory

✓ Disclosure strategy optimization
✓ Investor relations coordination
✓ Corporate governance enhancement
✓ Compliance cost optimization
✓ Long-term planning support

SEC Filing Requirements

Understanding and managing the complex web of SEC filing requirements is critical for public companies.

10-K

Annual Report

Comprehensive annual business and financial report

• Due 60-90 days after fiscal year end
• Audited financial statements required
• Management discussion & analysis
• Risk factors and business overview

10-Q

Quarterly Report

Quarterly financial performance update

• Due 40-45 days after quarter end
• Unaudited financial statements
• Material changes disclosure
• Legal proceedings updates

8-K

Current Report

Material events and corporate changes

• Due within 4 business days
• Acquisitions and dispositions
• Executive changes
• Material agreements

DEF

Proxy Statement

Annual shareholder meeting information

• Executive compensation details
• Director information
• Shareholder proposals
• Corporate governance matters

3/4/5

Insider Trading

Officer, director, and 10% owner filings

• Initial ownership statements
• Transaction reporting
• Annual ownership summaries
• Strict timing requirements

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Additional Forms

Specialized filings as needed

• Form S-1 (Registration)
• Form 11-K (Employee plans)
• Form 20-F (Foreign companies)
• Form NT (Extension requests)

2025 Compliance Calendar

Key filing deadlines and compliance dates for the current year.

Q1 2025

• Form 10-K (Dec 31 FYE): Mar 31
• Form 10-Q (Q1): May 15
• Proxy Statement: Apr 30
• Annual Meeting: May 31

Q2 2025

• Form 10-Q (Q1): May 15
• Form 10-Q (Q2): Aug 14
• Form 11-K: Jun 30
• Mid-year compliance review

Q3 2025

• Form 10-Q (Q2): Aug 14
• Form 10-Q (Q3): Nov 14
• Q3 earnings preparation
• Year-end planning begins

Q4 2025

• Form 10-Q (Q3): Nov 14
• Year-end audit preparation
• 2026 compliance planning
• Annual review and updates

Transparent Compliance Pricing

Predictable monthly fees based on your company's reporting requirements and complexity.

Essential

$3,500 /month

• Forms 10-K, 10-Q, 8-K preparation
• Basic compliance monitoring
• EDGAR filing submission
• Deadline tracking
• Email support

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Professional

$5,500 /month

• All Essential features
• Proxy statement preparation
• Insider trading form management
• Compliance training sessions
• Phone and email support
• Quarterly compliance reviews

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Enterprise

$8,500 /month

• All Professional features
• Strategic compliance advisory
• Custom disclosure controls
• Board training and support
• Priority support
• Monthly compliance calls

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Ensure Your SEC Compliance Today

Don't risk compliance violations or missed deadlines. Get expert SEC compliance management and peace of mind.

Schedule Compliance Review