How to Build Your First SEC Compliance Calendar

A useful compliance calendar connects every obligation to its trigger, owner, approval and proof of acceptance.

Start with the company profile

• SEC registration number and incorporation date
• Entity type and fiscal year
• Annual meeting date
• Capital and ownership structure
• Regulated activities and secondary licenses

Create one row per obligation

Record the official authority, preparation date, approving person or body, filing deadline, responsible owner, filing route and retained evidence.

Do not copy last year blindly

SEC schedules, forms and portals can change. Verify the current GIS, AFS and other filing instructions before relying on a recurring date.

Continue with the SEC Compliance hub.