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.
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 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.
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.
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.
Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.
SEC Forms Index A list of PDF versions of the SEC forms used in public filings along with the rules, regulations, and schedules associated with these forms.
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.
The SEC’s civil law enforcement authority enables the Commission to hold violators of the federal securities laws accountable for their misconduct and recover money for the benefit of harmed investors. While SEC investigations into possible securities law violations by firms or individuals are conducted privately to ensure they remain fair and objective, the SEC takes action publicly when it ...
