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 investing public. The regulation is designed to minimize conflicts of interest that arise in these complex operations.
Rules and Regulations for the Securities and Exchange …
Securities Exchange Act of 1934: Part 240: General Rules and Regulations: Part 241: Index of Interpretive Releases: Part 242: Regulations M, SHO, ATS, AC, and NMS and Customer Margin Requirements for Security Futures: Part 243: Regulation FD: Part 244: Regulation G: Part 245: Regulation Blackout Trading Restriction (Regulation BTR ? Blackout ...
SEC.gov | Rules and Regulations
Aug 14, 2024 · The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change takes effect. A need for rulemaking can be identified internally by the Commission or its staff, or externally by Congress, regulatory organizations, or the public.
Securities Act Rules - SEC.gov
Jan 26, 2015 · For purposes of Securities Act Section 10(a)(3), Item 512(b) of Regulation S-K provides that “each filing of the registrant’s annual report pursuant to section 13(a) or section 15(d) of the Securities Exchange Act of 1934 … that is incorporated by reference in the registration statement shall be deemed to be a new registration statement ...
SEC.gov | Home
The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws.
Sheep in the Steep: Remarks before the Northwestern Securities ...
Jan 27, 2025 · As lecture namesake Alan Levenson explained more than a half century ago, the corporation has a “role as the trustee of other people’s money”; “the other people” are “the investors—who are the consumers of the securities industry”; and—“[i]f the Securities and Exchange Commission is to be viewed as a ‘consumer protection ...
Remarks at the 51st Annual Securities Regulation Institute
Jan 22, 2024 · The Commission currently uses a similar concept in Regulation A and Regulation Crowdfunding. For tier 2 offerings under Regulation A where the security is not listed on an exchange, sales to a non-accredited investor cannot exceed more than 10% of the investor’s net worth or annual income. 17 CFR 230.251(d)(2)(i)(C)(1). Under Regulation Crowdfunding, …
Regulation A - SEC.gov
Nov 14, 2024 · Regulation A is an exemption from registration for public offerings. Regulation A has two offering tiers: Tier 1, for offerings of up to $20 million in a 12-month period; and Tier 2, for offerings of up to $75 million in a 12-month period.
55th Annual Institute on Securities Regulation - SEC.gov
Add to Calendar 2023-11-06 09:00:00 2023-11-08 15:45:00 55th Annual Institute on Securities Regulation. Commissioner Mark Uyeda, Division of Enforcement Director Gurbir Grewal, and other SEC staff will participate in the Practising Law Institute's 55th Annual Institute on Securities Regulation. See schedule for more information.
Securities Regulation in the Interconnected, Global Marketplace
Sep 21, 2016 · Today, all securities regulators need to be very cognizant of our global, as well as domestic, responsibilities, whether we are implementing standards for the global over-the-counter derivatives markets; detecting and protecting against new systemic risks in our financial systems; helping each other enforce our respective laws by gathering evidence from across the globe; …