The SEC’s Approach to Digital Assets: Inside “Project Crypto” SEC Chairman Paul S. Atkins outlined the SEC's next step in the digital finance revolution: applying basic fairness and common sense in the application of the federal securities laws to crypto assets and related transactions.
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 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.
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.
Securities Act of 1933 Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and prohibit deceit, misrepresentations, and other fraud in the sale of securities. Purpose of Registration A primary means of accomplishing ...
Reports and Publications 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.
Before serving as an SEC Commissioner, Chairman Atkins was a consultant on securities and investment management industry matters, especially regarding issues of strategy, regulatory compliance, risk management, new product development, and organizational control.
My Tip or Complaint Relates To: Possible securities law violations like fraud, Ponzi schemes, insider trading, market manipulation, or other wrongdoing A problem I'm having with my investment account or financial professional The SEC or self-regulatory organizations (SROs) such as stock exchanges or FINRA An SEC employee
Federal Court Actions - Litigation releases concerning civil lawsuits brought by the Commission in federal court Administrative Proceedings - Orders and related materials released by the Commission when administrative proceedings are instituted and/or settled ALJ Decisions - Opinions issued by Administrative Law Judges in contested administrative proceedings Commission Opinions - Opinions ...
