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SEC Compliance and Disclosure Management

Raising capital? Partner with a proven solution.

SEC Compliance and Disclosure Management

Streamline compliance, reduce costs and accelerate outcomes while working with one trusted partner

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
  • No "rush" premium means predictable invoices without surprises

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.

Meaningful savings

Reduce expenses by as much as 40 to 50 percent by eliminating rush premium fees, blacklining and repagination charges. Because substantial waiting time is also eliminated, your legal bills are also lower.

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.

Our Expanded Suite of Innovative Services
IPO & Capital Markets Transaction Services Proxy & Annual Report Preparation Annual Compliance & Other SEC Filings
  • Virtual data room
  • Enhanced proxy design
  • Full-service HTML/EDGAR and SEC filing
  • Document composition
  • Annual report and earnings release design
  • XBRL tagging and consulting services
  • HTML/EDGAR and SEC filing
  • HTML/EDGAR and SEC filing
  • Proprietary PROfile self-service filing and composition software
  • Printing and fulfillment services
  • XBRL tagging and consulting services
  • Hybrid service model
  • Conference facilities
  • Printing and fulfillment services
  • Translation services


How We Can Help

Industry leaders trust us with their critical deals and filings

33%
Of SEC filings leverage our software or services.
66K+
EDGAR filings processed each year.
1,000+
Publicly traded companies — many in the Fortune 500 — are our clients.