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SEC Rulemaking The SEC engages in rulemaking through a transparent process guided by the Administrative Procedure Act and informed by public comment. Members of the public are …
About - SEC.gov
Jun 29, 2024 · The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC has up to five Commissioners appointed by …
SEC Announces Enforcement Results for Fiscal Year 2024
Nov 22, 2024 · The SEC also received 45,130 tips, complaints, and referrals in fiscal year 2024, the most ever received in one year, including more than 24,000 whistleblower tips, more than …
Newsroom - SEC.gov
Jan 17, 2025 · The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations …
SEC Charges Three Senior Executives in Two Actions Alleging …
Nov 20, 2024 · The SEC’s ongoing investigation regarding Adani Green is being conducted by Nicholas Karasimas, Stewart Gilson, Christopher M. Colorado, and Alison Conn of the New …
SEC Chair Gensler to Depart Agency on January 20
Nov 21, 2024 · Further, the SEC recovered more than $250 million for harmed investors through examination of investment advisors, investment companies, and broker dealers, among …
Search Filings - SEC.gov
Jul 2, 2024 · A search engine to find Central Index Key numbers assigned by the SEC to corporate or individual filers. Public Dissemination Service (PDS) An option to subscribe to a …
Company Search - SEC.gov
Feb 11, 2010 · The SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to …
SEC Charges Cantor Fitzgerald Over Misleading SPAC Disclosures
Dec 12, 2024 · According to the SEC’s Order, in 2020 and 2021, a team of Cantor Fitzgerald executives managed and controlled two SPACs – CF Finance Acquisition Corp. II and CF …
SEC.gov | Rules and Regulations for the Securities and Exchange ...
PDF Versions of SEC Forms: Part 249B: Further Forms, Securities Exchange Act of 1934: Part 255: Proprietary Trading and Certain Interests in and Relationships with Covered Funds: Trust …