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 facilitates capital …

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 investing …

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.

Every offer and sale of securities must either be registered under the Securities Act of 1933 or rely on an available exemption from registration, most of which are listed below.

Oct 1, 2025 · 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 …

Companies conducting an offering under Rule 506 (b) can raise an unlimited amount of money and can sell securities to an unlimited number of accredited investors.

Jul 8, 2025 · Blockchain technology has unlocked novel models for distributing and trading securities in a “tokenized” format. Tokenization may facilitate capital formation and enhance investors’ ability to …

A broker is any person engaged in the business of buying or selling securities for the account of others. A dealer is any person engaged in the business of buying or selling securities, but for their own account.

Nov 21, 2025 · Dec 04 SEC Meetings and Other Events Investor Advisory Committee The SEC Investor Advisory Committee will hold a meeting to discuss regulatory changes in corporate governance and …

Jan 23, 2025 · 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; …