SEC.gov | Contact the SEC
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SEC.gov | Home
Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and …
SEC.gov | Statutes and Regulations
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 | 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; …
Securities Act Sections - SEC.gov
Mar 12, 2025 · Answer: Yes. Because the securities are convertible or exercisable within one year, an offering of both the overlying security and underlying security is deemed to be taking …
Report Suspected Securities Fraud or Wrongdoing - SEC.gov
Report Suspected Securities Fraud or Wrongdoing NOTICE: We strongly encourage the public (whistleblowers and non-whistleblowers) to submit any tips, complaints, and referrals (TCRs) …
Careers at the Securities and Exchange Commission - SEC.gov
The U.S. Securities and Exchange Commission (SEC) is seeking the best and brightest talent to help strengthen our workforce to better serve as the investor's advocate.
Official List of Section 13 (f) Securities - SEC.gov
This list of "Section 13 (f) securities" as defined by Rule 13f-1 (c) [17 CFR 240.13f-1 (c)] is made available to the public pursuant to Section 13 (f) (4) of the Securities Exchange Act of 1934 [15 …
SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …
Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have …
SEC.gov | Asset-Backed Securities (ABS) Issuances
Asset-backed securities (ABS) are securities that are primarily serviced by the cash flow of financial assets such as residential and commercial mortgage loans, auto leases, or credit …