SEC. gov | Home Home We make markets work better 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 formation for those looking to hire, innovate, and grow
SEC. gov | Statutes and Regulations intrastate offerings; and securities of municipal, state, and federal governments By exempting many small offerings from the registration process, the SEC seeks to foster capital formation by lowering the cost of offering securities to the public Securities Exchange Act of 1934 With this Act, Congress created the Securities and Exchange
SEC. gov | Two Robinhood Broker-Dealers to Pay $45 Million in Combined . . . The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations “It is essential to the Commission’s broader efforts to protect investors and promote the integrity and
SEC. gov | 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
SEC. gov | Exempt Offerings Exempt Offerings Can My Company Legally Offer And Sell Securities Without Registering With The SEC? 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 In addition, this chart provides a high-level summary of these
Official List of Section 13 (f) Securities - SEC. gov 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 USC 78m (f) (4)] It is made available for use in the preparation of reports filed with the Securities and Exchange Commission pursuant to Rule 13f-1 [17 CFR 240 13f-1] under Section 13 (f) of the
Private Placements - Rule 506 (b) - SEC. gov Private Placements - Rule 506 (b) Section 4 (a) (2) of the Securities Act exempts from registration transactions by an issuer not involving any public offering To learn more about Section 4 (a) (2), please click the box below
Staff Statement on Meme Coins - SEC. gov As part of an effort to provide greater clarity on the application of the federal securities laws to crypto assets, the Division of Corporation Finance is providing its views [1] on “meme coins ” A “meme coin” is a type of crypto asset [2] inspired by internet memes, characters, current events, or trends for which the promoter seeks to attract an enthusiastic online community to
nvda-20250126 Securities registered pursuant to Section 12 (g) of the Act: None Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act Yes ☐ No ☒ Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 (d) of the Act Yes ☐ No ☒
SEC. gov | Enforcement and Litigation 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