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 investing …
SEC.gov | Exempt Offerings
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.
How Investigations Work - SEC.gov
May 14, 2024 · The Division obtains evidence of possible violations of the securities laws from many sources, including market surveillance activities, investor tips and complaints, other Divisions and …
Frequently Asked Questions About Exempt Offerings - SEC.gov
Under the Securities Act, if a company’s offering qualifies for certain exemptions from registration, that offering is not required to be registered or qualified by state securities regulators.
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 agreed to …
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 when it finds …
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 facilitates capital …
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, 2025, …
Chicago Regional Office - SEC.gov
Sep 18, 2024 · The Chicago Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment …
Careers at the Securities and Exchange Commission - SEC.gov
The U.S. Securities and Exchange Commission (SEC) is seeking the best and brightest talent to help strengthen our workforce to better serve as the investor's advocate.