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Form 1-E AD Filings

SEC Form 1-E AD is submitted under Rule 607 of Regulation E. It includes sales material used by small businesses and BDCs for exempt offerings to maintain transparency and compliance.

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What is the Form 1-E AD?

Form 1-E AD is a specialized filing used to submit advertising, sales literature, or other promotional materials distributed to investors in connection with a Regulation E offering. Filed by eligible small business investment companies (SBICs) and business development companies (BDCs), this submission ensures that the SEC receives copies of all investor-facing communications used during the offering process.

Submitted pursuant to the Securities Act of 1933 through the SEC’s EDGAR system, Form 1-E AD supports regulatory oversight by making marketing and solicitation practices transparent and reviewable. These disclosures help protect investors by allowing the SEC to monitor how exempt offerings are promoted and to ensure that communications remain fair, accurate, and not misleading.

What’s Included in Form 1-E AD?

The primary purpose of this filing is to notify the SEC of any sales literature, advertising materials, or investor presentations used to promote a Regulation E offering. These materials must be filed no later than five business days after first use.

Typical items disclosed through Form 1-E AD include:

  • Sales brochures and printed advertisements
  • Investor slide decks or pitch presentations
  • Digital or social media marketing assets
  • Email campaigns sent to potential investors
  • Any publicly available offering communication

SEC Form 1-E AD Submission Guidelines

Form 1-E AD is required whenever investor communications are used in connection with a Regulation E offering. The form must be filed with the SEC no later than five business days after the first use of any sales material.

Requirement Timing Purpose
First use of promotional content Within 5 business days Ensures transparency around marketing and investor disclosures
Use of multiple formats (email, ads) File representative versions Protects against misleading or omitted material information

Key Things to Know About 1-E AD Filing Rules

  • Covers all forms of public investor communication: From printed brochures to social media ads
  • Strict timing requirement: Must be filed within five business days of first use
  • Supports investor protection: Prevents misleading claims by ensuring compliance with marketing

To track Regulation E amendments and exempt offering updates by SBICs and BDCs, our platform provides SEC Filing Realtime Alerts that help you monitor filings such as Form 1-E AD, Form 1-E, Form 1-A, and  Form 1-A POS. These alerts keep you informed about small-business capital-formation activity, amendment filings, and ongoing compliance reporting, as updates are made available.

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