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Law & SEC Interpretations

Regulatory Materials

The Intelligize database is made up of regulatory materials from the Securities and Exchange Commission and the Electronic Code of Federal Regulations.

The Regulatory Materials application within the Intelligize platform provides access to statutes, rules, regulations, and other materials pertinent to US capital markets. From proposed rules, final rules, and IC releases, administrative proceedings, and other enforcement materials, the application offers the most complete database of regulatory materials in the market.

Comment Letters

The Comment Letters application within the Intelligize platform consists of all electronically released SEC comments on company filings, as well as the response letters from company filers. This application identifies issues the have previously drawn attention from SEC examiners and retrieves on-point responses by peers to similar comments.

Search by SEC examiner, topic, the responding law firm, or numerous other filters. Search results reveal each letter broken down into individual comments and matched with each response to the comment, creating a correspondence thread that spans multiple letters. Analytical tools provide a graphical breakdown of topics commented on by each SEC examiner, as well as the ability to do further analysis.

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No-Action Letters

The No-Action Letters application within the Intelligize platform contains all electronically released no-action letters from the SEC. Powerful filtering tools enable the user to hone in on relevant SEC staff opinions.

For all electronic no-action letters, you can reach utilizing a number of different keywords and phrases such as shareholder proposals and reconsideration requests, as well as filters by SEC position or divisions and sub-divisions within Corporate Finance, Investment Management, Trade and Markets, and Office of the Chief Accountant.

Our database of No-Action Letters contains all No-Action Letters from 1978 to present. Searchable fields include:

  • Entity requesting letter
  • Letter type: reconsideration request, appeal, incoming letter (to the SEC), or response (from the SEC)
  • SEC Determination, for letters dated 2002 – present
  • SEC Division/Category, for letters dated 2002 – present

Shareholder Proposals

  • Our database contains all Rule 14a-8 letters from 1978 – present
  • Rule 14a-8 letters filed from 2007 to present have additional functionality and tags, including:
    • Link to the proxy if the proposal was included
    • Link to 8-K Item 5.07 with voting results for proposal
    • Topic of the proposal
    • Proposal Title (exact proposal)
    • Law Firm requesting No-Action Letter
    • Proponent
    • Proponent’s law firm
    • Exclusionary rule requested (under Rule 14a-8)
    • Exclusionary rule used (if the proposal was excluded)
    • SEC determination (whether the exclusion was allowed)
    • SEC respondent