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Form 1-E AD/A Filings

SEC Form 1-E AD/A is filed to amend previously submitted sales materials under Rule 607 of Regulation E, ensuring updated promotional content remains compliant and fully disclosed to the SEC.

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What is the Form 1-E AD/A?

Form 1-E AD/A is an amendment to Form 1-E AD that allows issuers to revise, replace, or correct advertising, promotional, or sales materials previously submitted in connection with Regulation E offerings. This amendment ensures that updated investor-facing communications are accurately reflected in the SEC’s records when changes are made due to compliance edits, campaign updates, or content corrections.

Filed pursuant to the disclosure and anti-fraud provisions of the Securities Act of 1933, Form 1-E AD/A helps the SEC oversee how exempt offerings are marketed by maintaining a current public record of solicitation materials.

What’s Included in Form 1-E AD/A?

This form typically contains revised versions of materials previously submitted through Form 1-E AD. Any updates to language, data, graphics, or disclaimers used in investor communications must be transparently reported.

Common updates that require a Form 1-E AD/A filing include:

  • Revised brochures or printed ads
  • Updated PowerPoint or video presentations
  • Corrections to prior promotional language
  • Digital asset or website copy changes
  • Edits for regulatory compliance or legal review

To learn how sales material revisions are handled in other offering types, refer to Form 1-A POS, which supports post-qualification amendments in Regulation A.

SEC Form 1-E AD/A Filing Guidelines

This amendment must be submitted promptly after the revised materials are first used or discovered to differ materially from the original version filed. It ensures that the SEC and potential investors are working from the most current information.

When to File What Triggers Filing Notes
After the original AD materials change Marketing content is materially revised Must include all updated exhibits or samples used in communications
Compliance or legal edits Statements updated due to counsel review Protects investors from misrepresentation or omission

Key Things to Know About 1-E AD/A Filing Rules

  • Must follow a previously submitted Form 1-E AD — It cannot be filed as a standalone
  • Used for transparency and legal compliance — Any significant edits require refilling
  • No cap on amendment frequency — File each time the sales content is materially changed

To track Regulation E amendment filings and updates by SBICs and BDCs, our platform references the SEC Forms List to help you monitor filings such as Form 1-E AD/A, Form 1-E AD, Form 1-A, and Form 1-E. This keeps you informed about small business capital formation activity, amendment filings, and ongoing compliance reporting.

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