Jan 14, 2025 · The New York Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

Securities Topics. Crypto Assets; Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers

View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week. Tutorials and resources to help users locate filings, conduct research, and retrieve specific information in EDGAR.

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

Oct 2, 2024 · Public companies are required by law to periodically file financial disclosure documents with the SEC. These reports are available to the public through the SEC's EDGAR (Electronic Data Gathering, Analysis & Retrieval) system. EDGAR offers public filings of securities starting from 1996.

The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. [2] [3] [4] Its primary purpose is to enforce laws against market manipulation. [5] [6]: 2

Jul 12, 2024 · From its 1930s origins to present-day challenges regulating cryptocurrencies, this article explores the market regulator's roles, responsibilities, and reach. The U.S. Securities and Exchange...

In 2022, we launched the NYSE Institute to better facilitate connections between NYSE-listed companies and elected officials, regulators, and policymakers. As part of our ongoing commitment to supporting our issuers, we now also offer issuer …

NEW YORK, Dec 7 (Reuters) - The U.S. Securities and Exchange Commission will vote on whether to propose some of the biggest changes to the American equity markets in nearly two decades at a Dec....