Submitting documents to the U.S. Securities and Exchange Commission (SEC) is a critical part of investor operations, but legacy systems often make this process slow, error-prone, and frustrating. A modernization initiative set out to fix that, transforming regulatory submissions into a smoother, faster, and more scalable experience using dynamic forms and full-stack enhancements.
The Challenge
A project was launched to streamline the submission of regulatory documents to the U.S. Securities and Exchange Commission (SEC), enabling investors to transmit vital filings more quickly, securely, and intuitively. The existing system was limited in usability and scalability, making high-volume submissions slow and error-prone.
The Process
Oceans joined the initiative with a technical team focused on enhancing the system’s usability and performance. The solution centered on:
- Transforming and rendering documents via Dynamic Forms, allowing users to fill and submit complex filings in a simplified web-based interface.
- Integrating legacy formats into web-compatible systems, reducing friction in the submission process.
- Supporting both frontend and backend modernization to prepare the solution for increased usage and higher compliance standards.
The Team
Oceans provided engineers with strong domain knowledge in both front-end UX design and backend optimization for high-volume data handling. The team worked closely with stakeholders to prioritize ease of use, security, and performance all essential for investor trust and regulatory alignment.
The Solution
Following Oceans contribution, the platform now supports nearly double the volume of simultaneous submissions, enabling faster and more reliable document exchange with the SEC.
This case illustrates how Oceans helps financial service platforms bridge compliance and usability, delivering scalable systems that empower users and meet strict industry standards.
