The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws.

2025年1月23日 · 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 the President on the advice and consent of the Senate. No more than three Commissioners can be members of the same political party. Chair and Commissioners; Budget/Operations

2024年11月22日 · 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 14,000 of which were submitted by two individuals. The SEC issued whistleblower awards totaling $255 million. Crediting Market Participants Who Practice Proactive Compliance

2024年11月20日 · 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 York Regional Office. It is being supervised by Tejal D. Shah. The litigation will be led by Mr. Colorado, Mr. Karasimas, and Mr. Gilson, under the supervision of Daniel Loss.

2024年7月2日 · 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 privatized system to receive a dedicated feed of all public EDGAR filings.

2025年1月21日 · The Office of Public Affairs maintains SEC.gov and the agency's intranet with the ultimate goal of keeping the SEC transparent, relatable and accountable to taxpayers and employees alike. news @sec.gov 202-551-4120

2010年2月11日 · 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 file a Form D with the SEC. The Form D serves as a brief notice that provides information about the company and the offering.

2024年11月21日 · Further, the SEC recovered more than $250 million for harmed investors through examination of investment advisors, investment companies, and broker dealers, among others. The Division of Examinations also enhanced communication with registrants by sharing more timely information about its annual priorities and observations and proactively ...

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 Indenture Act of 1939: Part 260: General Rules and Regulations: Part 261: Index of Interpretive Releases: Part 269: e-CFR Forms Listing PDF Versions of SEC Forms

Submit a Tip or Complaint; Tips, Complaints, & Referrals Form; Investor Complaint Form; Investor Question Form; Ask a Question/Submit Complaint via Ombuds Matter Management System