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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. At Investor.gov, the SEC provides investors with the resources to make informed investment decisions.
29 cze 2024 · About. The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. 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 ...
2 lip 2024 · Search Filings. Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.
11 lut 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.
Mission. At the Securities and Exchange Commission (SEC), we work together to make a positive impact on the U.S. economy, our capital markets, and people’s lives. Since our founding in 1934 at the height of the Great Depression, we have stayed true to our mission of protecting investors, maintaining fair, orderly, and efficient markets, and ...
31 paź 2024 · Without admitting or denying the findings in the SEC’s orders, the two affiliates agreed to pay more than $151 million in combined civil penalties and voluntary payments to investors to resolve four of the actions. The SEC did not impose a penalty in one of the actions, taken against JPMS, because JPMS cooperated in the investigation and ...
According to the SEC's order, between April 2018 and May 2019, the former TD Securities trader spoofed the U.S. Treasury cash securities market by entering orders on one side of the market that he had no intention of executing (herein, non-bona fide orders), so he could obtain more favorable execution prices on bona fide orders he was entering simultaneously on the other side of the market.
Select SEC and Market Data. May 14, 2024. Semiannual Management Report (May 2024) (PDF) May 1, 2024. Women and Minority-Owned Businesses in Regulation Crowdfunding Report (PDF) April 30, 2024. Report on Administrative Proceedings For the Period October 1, 2023, through March 31, 2024 (PDF) Special Studies. April 26, 2024.
4 lis 2024 · Today the Division of Examinations published a Risk Alert providing insight regarding the examination process for funds and includes an attachment outlining the types of documents and information that are typically requested by examination staff.
31 paź 2024 · SEC Announces Departure of Enforcement Director Gurbir S. Grewal. 2024-162. Sept. 30, 2024. SEC Charges Independent Director and Ex-CEO of Church & Dwight With Concealing Close Friendship with Company Executive. 2024-161. Sept. 30, 2024. TD Securities Charged in Spoofing Scheme. 2024-160. Sept. 30, 2024.
