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.

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.

Jan 21, 2025 · Today SEC Acting Chairman Mark T. Uyeda launched a crypto task force dedicated to developing a comprehensive and clear regulatory framework for crypto assets. Commissioner Hester Peirce will lead the task force.

Jan 21, 2025 · Before joining the SEC, Acting Chairman Uyeda was appointed by Governor Arnold Schwarzenegger to serve as the Chief Advisor to the California Corporations Commissioner, the state’s securities regulator.

Feb 14, 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.

Find registration statements, periodic reports, and other forms by typing the name or ticker symbol of a company (CIK lookup info) (confidential treatment orders) (SEC correspondence with issuers)

Nov 22, 2024 · The SEC’s two complaints allege that the defendants solicited investors via social media apps, lied to them to gain their trust and confidence, and then stole their money. These charges are the SEC’s first enforcement actions alleging these types of scams. Cybersecurity

Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations.

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.

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, AC, and NMS and Customer Margin Requirements for Security Futures: Part 243: Regulation FD: Part 244: Regulation G: