Rules and Regulations - SEC.gov
Aug 14, 2024 · The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change …
SEC.gov | Rules and Regulations for the Securities and Exchange ...
PDF Versions of SEC Forms: Securities Exchange Act of 1934: Part 240: General Rules and Regulations: Part 241: Index of Interpretive Releases: Part 242: Regulations M, SHO, ATS, …
SEC.gov | Rules, Regulations and Schedules
Jul 20, 2010 · Regulation Crowdfunding [17 CFR Part 227] Rules governing crowdfunding offerings of up to $1,070,000; Regulation S-K [17 CFR Part 229] Integrated disclosure …
Statutes and Regulations - SEC.gov
This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the …
SEC.gov | Home
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 …
SEC.gov | Laws and Rules
May 13, 2020 · The regulation is designed to minimize conflicts of interest that arise in these complex operations. The Act requires these companies to disclose their financial condition and …
Rulemaking Activity - SEC.gov
Dec 20, 2024 · This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission. …
Regulation A - SEC.gov
Nov 14, 2024 · Regulation A has two offering tiers: Tier 1, for offerings of up to $20 million in a 12-month period; and Tier 2, for offerings of up to $75 million in a 12-month period. For offerings …
SEC.gov | Division of Trading and Markets
6 days ago · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, …
SEC.gov | Division of Investment Management
Jan 16, 2025 · The Division of Investment Management develops regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, and …