SEC.gov | About
Jan 23, 2025 · The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. The SEC’s mission is to protect …
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 | 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 …
Rule 144: Selling Restricted and Control Securities - SEC.gov
Jan 15, 2013 · This brochure presents an overview of what you need to know about selling your restricted or controlled securities. It also describes how to have a restricted legend remove.
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 …
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 …
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 …
Over-the-Counter Securities - SEC.gov
While you may often hear about securities that are listed and trade on national securities exchanges like Nasdaq and the New York Stock Exchange, securities can also trade off …
Frequently Asked Questions About Exempt Offerings - SEC.gov
Under the Securities Act, if a company’s offering qualifies for certain exemptions from registration, that offering is not required to be registered or qualified by state securities regulators.
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 …