SEC Compliance and Disclosure Management

Innovative technology designed to simplify debt and equity offerings.

More companies and top law firms are turning to Broadridge to typeset and file SEC documents in less time at a lower cost.

• Automated manual processes and reduced turnaround times

A full range of disclosure management services for capital markets transactions and compliance disclosure.

• Comprehensive composition, EDGAR filing and printing services at significant cost and time savings.
• Leading EDGAR filing software noted for its ease of use and reliability.
• Trusted for largest IPOs, debt offerings and M&A transactions.

Exceptional accuracy and efficiency

The market demands speed, and our advanced document composition technology enables the completion of routine tasks in just a few clicks instead of hours. Repagination, TOC, global searches and blacklining are fully automated. PowerPoint files convert to SEC-compliant HTML in minutes.  Make changes once and automatically update your content in every format, including typeset, HTML/EDGAR and XBRL -- further reducing time and risk.

• Initial Public Offerings
• M&A transactions
• Debt & equity offerings
• Proxy Statements & Annual Reports
• 10-K, 10-Q, 8-K filing services
• Section 16 and other standardized form filings

Flexibility and control

Gain freedom of choice with a flexible service model. Whether you select self-service with our regulatory filing software, a managed service or a hybrid solution tailored to your unique needs, extra assistance is always available if required.

Technology that puts you in control

Create your documents quickly and accurately with PROfile, our proprietary HTML/XBRL document composition and SEC filing software. Easily convert from Microsoft Word, Excel and PowerPoint into SEC compliant HTML and file over 200 Form types directly with the SEC, including Forms 3, 4, and 5.

High-impact documents

Create more visually appealing, informative documents with typesetting and graphic design capabilities that make it easy. Print exactly what you need, when you need it, with our on-demand print capability.

Expert support

We stay on top of regulatory changes to keep you in compliance. Our team of service specialists, SEC filing experts and licensed CPAs are tenured and experienced in all aspects of the document disclosure process. They are available 24 hours a day to address your service requests promptly, precisely and confidentially.