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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 invited to share comments on proposed rulemakings.
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 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
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 14,000 of which were submitted by two individuals. The SEC issued whistleblower awards totaling $255 million. Crediting Market Participants Who Practice Proactive Compliance
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 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.
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 file a Form D with the SEC. The Form D serves as a brief notice that provides information about the company and the offering.
Search Filings - SEC.gov
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.
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 others. The Division of Examinations also enhanced communication with registrants by sharing more timely information about its annual priorities and observations and proactively ...
Newsroom - SEC.gov
1 day ago · 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
SEC.gov | Submit a Tip or Complaint
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
SEC.gov | Reports and Publications
Dec 12, 2024 · This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.