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 …
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 …
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 | 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 …
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) …
Official List of Section 13 (f) Securities - SEC.gov
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 …
Paul S. Atkins Sworn In as SEC Chairman - SEC.gov
Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, …
Report Possible Securities Law Violations - SEC.gov
If you suspect possible securities law violations like fraud, Ponzi schemes, insider trading, market manipulation, or other wrongdoing, use our online Tips, Complaints & Referrals (TCR) form to …
SEC.gov | About
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 …
SEC.gov | Enforcement and Litigation
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 …
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