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SEC Rulemaking The SEC engages in rulemaking through a transparent process guided by the Administrative Procedure Act and informed by public comment. Members of the public are invited to share comments on proposed rulemakings.
Company Search - SEC.gov
Feb 11, 2010 · The SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to file a Form D with the SEC. The Form D serves as a brief notice that provides information about the company and the offering.
Search Filings - SEC.gov
Jul 2, 2024 · A search engine to find Central Index Key numbers assigned by the SEC to corporate or individual filers. Public Dissemination Service (PDS) An option to subscribe to a privatized system to receive a dedicated feed of all public EDGAR filings.
SEC Announces Enforcement Results for Fiscal Year 2024
Nov 22, 2024 · The SEC also received 45,130 tips, complaints, and referrals in fiscal year 2024, the most ever received in one year, including more than 24,000 whistleblower tips, more than 14,000 of which were submitted by two individuals. The SEC issued whistleblower awards totaling $255 million. Crediting Market Participants Who Practice Proactive Compliance
Filings & Forms - SEC.gov
Feb 21, 2012 · Filings & Forms. All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR.
SEC Chair Gensler to Depart Agency on January 20
Nov 21, 2024 · Further, the SEC recovered more than $250 million for harmed investors through examination of investment advisors, investment companies, and broker dealers, among others. The Division of Examinations also enhanced communication with registrants by sharing more timely information about its annual priorities and observations and proactively ...
SEC Charges Three Senior Executives in Two Actions Alleging …
Nov 20, 2024 · The SEC’s ongoing investigation regarding Adani Green is being conducted by Nicholas Karasimas, Stewart Gilson, Christopher M. Colorado, and Alison Conn of the New York Regional Office. It is being supervised by Tejal D. Shah. The litigation will be led by Mr. Colorado, Mr. Karasimas, and Mr. Gilson, under the supervision of Daniel Loss.
SEC.gov | Form N-CEN Data Sets
Dec 31, 2024 · Form N-CEN is used by all registered investment companies, other than face-amount certificate companies to file annual reports with the Commission.
SEC.gov | Ian Mitchell
Nov 18, 2024 · The SEC's complaint charges Mitchell with violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Mitchell consented to the entry of a final judgment permanently enjoining him from violating those provisions of the federal securities laws and an officer and ...
wmt-20240131 - SEC.gov
Jan 31, 2024 · Our SEC filings, our Reporting Protocols for Senior Financial Officers and our Code of Conduct can be found on our website at www.stock.walmart.com. These documents are available in print to any shareholder who requests a copy by writing or calling our Investor Relations Department, which is located at our principal offices.