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Form 1-E/A Filings

SEC Form 1-E/A is an amendment to the original Regulation E notification. It updates key details submitted by small business investment companies and BDCs offering exempt securities

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What is the Form 1-E/A?

Form 1-E/A is filed to amend information previously submitted in a Form 1-E filing under Regulation E. Small Business Investment Companies (SBICs) and Business Development Companies (BDCs) use this amendment to revise offering details, update disclosures, or correct previously reported information to ensure continued compliance with SEC requirements.

Filed pursuant to the Securities Act of 1933, Form 1-E/A plays an important role in maintaining accurate public disclosures for exempt offerings conducted under Regulation E. Updated filings are made available through the SEC’s EDGAR company filings database, allowing regulators and investors to access the most current information throughout the offering lifecycle.

What’s Included in Form 1-E/A?

This amendment filing may be required when offering terms, business structure, or issuer details have changed after the original 1-E has been submitted. It ensures the SEC receives updated and complete records of the Regulation E offering.

Typical updates reported in Form 1-E/A include:

  • Adjustments to the total offering amount
  • Revisions to company ownership or organizational structure
  • Updates to business operations or objectives
  • Modified financial disclosures or projections
  • Change in issuer’s legal or regulatory status

SEC Form 1-E/A Filing Deadline

There is no set schedule for filing Form 1-E/A. Issuers must file it promptly after identifying a material change in the information provided in their original Form 1-E.

Trigger for Amendment When to File Form 1-E/A Notes
Change in offering structure As soon as the change is finalized Must reflect accurate terms to retain Regulation E exemption
Updates to the company or financials After the material update is approved May include exhibits or updated disclosures
Legal or strategic shifts If they alter offering eligibility Required to maintain transparency and regulatory compliance

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

  • Only used to amend existing Form 1-E filings
  • Does not replace the original form — it supplements and updates it
  • Filed when offering details or issuer data materially changes
  • Supports continued compliance with Regulation E exemptions

To track Regulation E notification amendments under the Securities Act, our platform provides real-time SEC Filing Notification to help you monitor filings such as Form 1-E/A, Form 1-E, and Form 1-E AD. These notifications keep you informed about small business capital formation activity, amendment filings, and ongoing compliance reporting as updates are disclosed. Visit How to Search for SEC Filings to know more about tracking SEC filings & insight.

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