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 …
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.
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
Before serving as an SEC Commissioner, Chairman Atkins was a consultant on securities and investment management industry matters, especially regarding issues of strategy, regulatory …
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 …
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 | Newsroom
Sep 30, 2025 · The SEC's Small Business Capital Formation Advisory Committee is holding a public meeting regarding matters relating to rules and regulations affecting small and emerging …
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) …
Broker-Dealers - SEC.gov
Finding buyers and sellers of businesses Operating a platform enabling trading of securities Providing services to registered broker-dealers To determine whether someone is a broker, …
Rule 144: Selling Restricted and Control Securities - SEC.gov
Jan 15, 2013 · When you acquire restricted securities or hold control securities, you must find an exemption from the SEC's registration requirements to sell them in a public marketplace. Rule …