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 | 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 | 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 …
Enchanting, but Not Magical: A Statement on the Tokenization of …
Jul 8, 2025 · Blockchain technology has unlocked novel models for distributing and trading securities in a “tokenized” format. Tokenization may facilitate capital formation and enhance …
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 …
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 …
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.
SEC.gov | Newsroom
Dec 17, 2025 · The SEC, Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) are holding a virtual two-day compliance outreach …
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 | Mission
We protect investors by vigorously enforcing the federal securities laws to ensure truth and fairness. We deter misconduct, hold wrongdoers accountable, and provide resources to help …
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