Jan 23, 2025 · 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

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

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.

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.

Jan 13, 2025 · The SEC’s order finds that Robinhood Securities violated Rules 200(g), 203(b)(1), and 204(a) of Reg SHO. The order further finds that both firms violated Rule 30(a) of Regulation S-P, Rule 201 of Regulation S-ID, and the broker-dealer recordkeeping and reporting provisions of the federal securities laws.

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 ...

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.

Jan 21, 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 affecting small and emerging businesses and their investors under the federal securities laws.

Aug 27, 2024 · The SEC’s complaint, filed in the U.S. District Court for the Southern District of Alabama, charges Austal Limited and Austal USA with violations of the antifraud provisions of the Securities Exchange Act of 1934. Austal Limited and Austal USA each consented to permanent injunctions, and Austal USA agreed to pay the aforementioned penalty.

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