SEC.gov | Rules and Regulations
WEBAug 14, 2024 · Learn about the SEC rulemaking process, agenda, and authority under the federal securities laws. Find indexes of proposed and final rules, SRO filings, statutes, orders, policy statements, staff guidance, and no-action letters.
SEC.gov | Rules and Regulations for the Securities and Exchange ...
WEBForm and Content of and Requirements for Financial Statements, Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975
Statutes and Regulations - SEC.gov
WEBLearn about the main securities laws in the U.S., such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002. Find links to the full text of each law and its purpose, scope, and enforcement.
Securities and Exchange Commission (SEC) Defined, How It Works
WEBJul 12, 2024 · The Securities and Exchange Commission (SEC) is the U.S. government agency created by Congress to regulate the securities markets and protect investors.
How SEC Regs Will Change Cryptocurrency Markets - Investopedia
WEBJul 24, 2024 · The SEC uses the Howey test to determine whether cryptocurrencies are securities and subject to its enforcement. Learn how the SEC has stepped up its actions against crypto fraud, manipulation,...
Understanding the SEC - Investopedia
WEBJul 12, 2024 · Learn about the history, roles, and responsibilities of the U.S. Securities and Exchange Commission (SEC), the federal agency that regulates the securities markets and protects...
Researching the Federal Securities Laws Through the SEC Website
WEBLearn how to research the federal securities laws through the SEC website, including statutes, rules, and other documents. Find links to official and unofficial sources of SEC rules and regulations, such as the Federal Register and the Code of Federal Regulations.
SEC Adopts Rules to Amend Minimum Pricing Increments and …
WEB4 days ago · The Securities and Exchange Commission today adopted amendments to certain rules under Regulation NMS to adopt an additional minimum pricing increment, or “tick size,” for the quoting of certain NMS stocks, reduce the access fee caps for protected quotations of trading centers, increase the transparency of exchange fees and rebates, and accelerate the implementation of rules that will make ...
What Is The Securities and Exchange Commission (SEC ... - Forbes
WEBJul 13, 2023 · SEC stands for Securities and Exchange Commission, a federal agency that monitors and regulates U.S. markets and protects investors. Learn about the SEC's mission, divisions,...
SEC Rules and Regulations Investors Should Know - SmartAsset
WEBLearn about the main laws and rules that the SEC enforces to protect investors and regulate the U.S. financial industry. Find out how the SEC requires companies to disclose information, prohibits fraud and conflicts of interest, and oversees markets and self-regulatory organizations.