SEC.gov | Statutes and Regulations
This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the …
SEC.gov | Home
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 …
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 …
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 | Exempt Offerings
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.
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 …
Press Releases - SEC.gov
Sep 30, 2025 · Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.
Broker-Dealers - SEC.gov
A broker is any person engaged in the business of buying or selling securities for the account of others. A dealer is any person engaged in the business of buying or selling securities, but for …
Securities Act Sections - SEC.gov
Mar 12, 2025 · Answer: Yes. Because the securities are convertible or exercisable within one year, an offering of both the overlying security and underlying security is deemed to be taking …
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