SEC.gov | Rules and Regulations
Aug 14, 2024 · The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change takes effect. A need for rulemaking can be identified internally by the Commission or its staff, or externally by Congress, regulatory organizations, or the public.
SEC.gov | Rules and Regulations for the Securities and Exchange ...
Regulation S-T ? General Rules and Regulations for Electronic Filings: Part 239: e-CFR Forms Listing 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 ...
SEC.gov | Statutes and Regulations
SRO proposed rules are subject to SEC review and published to solicit public comment. While many SRO proposed rules are effective upon filing, some are subject to SEC approval before they can go into effect. Trust Indenture Act of 1939. This Act applies to debt securities such as bonds, debentures, and notes that are offered for public sale.
Rules, Regulations and Schedules - SEC.gov
Jul 20, 2010 · The following rules, regulations and schedules apply to disclosure documents filed with the SEC that are subject to review by the Division of Corporation Finance. Regulation S-X [17 CFR Part 210] Form and content of and requirements for financial statements; Regulation Crowdfunding [17 CFR Part 227]
SEC.gov | Laws and Rules
May 13, 2020 · This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.
SEC.gov | Home
SEC Rulemaking 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.
SEC.gov | Division of Trading and Markets
6 days ago · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), securities-based swap dealers, and transfer agents.
Rulemaking Activity - SEC.gov
Dec 20, 2024 · This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission. Twice a year under the Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months.
Going Public - SEC.gov
Even if your company has not issued securities under a registration statement declared effective by the SEC, it could still become a reporting company and be required to file a registration statement under Section 12 of the Exchange Act. Exchange Act reporting and registration; Annual meetings and proxy requirements
Regulation Crowdfunding - SEC.gov
Nov 14, 2024 · require all transactions under Regulation Crowdfunding to take place online through an SEC-registered intermediary, either a broker-dealer or a funding portal; permit a company to raise a maximum aggregate amount of $5 million through crowdfunding offerings in a 12-month period