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| securities regulation choi: Securities Regulation Stephen Jung Choi, Adam C. Pritchard, 2015 This casebook offers a clear and concise introduction to the economics and regulation of securities markets, with a single-minded focus on disclosure and the economics of disclosure. It is concise, easy to read, and student friendly. The chapters are organized around motivating hypotheticals which illustrate the various issues relating to each chapter's topic. These hypotheticals make it easier for the students to follow the material. In addition, they are a useful teaching device allowing students to grapple with issues that they are likely to face as corporate lawyers. The supporting materials for the book also provide role-playing and prospectus-drafting exercises to involve students in learning tedious securities materials (i.e., prospectuses). This casebook attempts to make securities regulation easy to teach and understand. It is shorter and more comprehensible than other casebooks. It is focused on the important principles students will need to understand to be effective corporate lawyers. The book avoids policy debates and instead focuses on understanding the rules as they are. It contains tables and charts to organize complicated material, along with a comprehensive set of PowerPoint slides for presenting the material. This casebook focuses on the Securities Exchange Act of 1934 first, then the 1933 Act. The Sarbanes-Oxley and Dodd Frank Acts are also covered. The Fourth Edition has been updated to reflect changes made by the Jumpstart Our Business Startups Act (JOBS Act), including public company status and private placements. The Fourth Edition also includes significant recent Rule 10b-5 cases, such as Halliburton II, and insider trading cases (Newman). |
| securities regulation choi: The Law of Securities Regulation Thomas Lee Hazen, 2002 This Hornbook is aimed primarily at law students. It is a substantial abridgement of my four-volume Treatise on the law of securities regulation--Page ix. |
| securities regulation choi: The Federalization of Corporate Governance Marc I. Steinberg, 2018 This book focuses on the federalization of corporate governance in the United States from both historical and contemporary perspectives. At the outset, it is clear that state corporate law remains vital with respect to the propriety of substantive fiduciary conduct as well as setting forth the relations among and between the corporation, its fiduciaries, its shareholders, and its other stakeholders. Accordingly, the ensuing chapters focus on key aspects of state corporate law to illustrate the continued importance of state company law impacting corporate governance. |
| securities regulation choi: Securities Market Issues for the 21st Century Merritt B. Fox, 2018 |
| securities regulation choi: Cases and Materials on the European Convention on Human Rights Alastair R. Mowbray, 2007 This second edition provides students with a selection of the leading jurisprudence, together with commentary, on the major rights enshrined in the European Convention of Human Rights. It also examines the creation of the Convention, and the role of the institutions and remedies available at the European level. |
| securities regulation choi: Securities Regulation Louis Loss, 2009 The universally acknowledged work Securities Regulation is of immense day-to-day value to the practitioner. The authors' analysis of all relevant statutes plus thousands of cases, SEC administrative decisions and letters definitively clarifies such questions as: When does a note fall within the definition of a security How have the courts altered the express civil liability provisions of the federal securities laws? Can the SEC impose additional ten-day suspensions on trading without notice? Does scienter include reckless as well as intentional conduct? And countless others, so that you're almost sure to find coverage of the small point on which your case may turn.--Publisher's website. |
| securities regulation choi: Resales of Restricted Securities , 2007 |
| securities regulation choi: The Enforcement of Securities Law in China Wenming Xu, 2022-03-14 This book takes a law and economic approach to examine the securities law enforcement in China and provides an in-depth empirical analysis on the enforcement inputs and outputs. In contrast to previous studies, it systematically collects a large sample of judicated securities fraud cases and public sanctions as disclosed by the listed companies. The enforcement regime is further divided into the private enforcement exemplified by the civil litigation imitated by harmed investors and public enforcement by sanctions proceedings initiated by public agencies. Academic researchers, policy makers and practitioners, who are interested in the securities market and regulation could find the information provided in this book interesting. |
| securities regulation choi: Shareholder-driven Corporate Governance Anita Indira Anand, 2020-02-01 How effectively can governing mechanisms forged before the surge of activist investment continue to protect shareholders and efficiently order capital markets? This is a pressing question for scholars and practitioners of corporate law, as well as for market participants generally. In order to illuminate the extent to which the growing trend of shareholder activism calls for a new understanding of the kind of shareholder-corporate relations the law should facilitate, this book introduces the concept of shareholder-driven corporate governance. This concept refers to the evident phenomenon of shareholder involvement in corporate governance and offers a normative endorsement of this development. In order to secure the benefits of investors' increasing involvement in corporate affairs, regulatory regimes must grapple with a number of considerations. This book is based on the idea that shareholder corporate governance is a welcome development, but that it does not come without regulatory challenges. For one, it requires rejecting the idea that well-ordered capital markets can be achieved through corporate law which is subservient to private ordering. The mandatory character of, for example, securities regulation is vital to fostering shareholder involvement in corporate affairs. Defenders of shareholder corporate governance must also confront the matter of wolf packs, or loosely formed bands of investors who defy existing regulatory categories but nonetheless exert collective influence. Regulation that is sensitive to both the inadequacies of past approaches to corporate-shareholder relations and the novel challenges posed by increasing shareholder activism will be able to harness activism, allowing capital markets to flourish. |
| securities regulation choi: Securities Regulation in a Nutshell Thomas Lee Hazen, 2016 Softbound - New, softbound print book. |
| securities regulation choi: Securities Regulation Statutory Supplement Stephen Choi, Adam Pritchard, 2016-07-27 This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act. |
| securities regulation choi: Mergers and Acquisitions CLAIRE A. HILL, Brian Jm Quinn, Steven Davidoff Solomon, 2019-03-12 Being an M&A practitioner or litigator requires not only a knowledge of the law--the statutes, cases, and regulations--but also the documentation and the practices within the transacting community. This book prepares students for practice. The second edition includes, and explains, deal documentation, and discusses how negotiations proceed, referencing both the relevant law and transacting norms. It covers Federal and State law, as well as other relevant regulatory regimes involving antitrust, national security, FCPA and other issues. It has questions designed to get students to understand the law and the underlying policy, and problems to get students familiar with transaction structuring. |
| securities regulation choi: Securities Regulations Alan R. Palmiter, 1998 Noted author Alan Palmiter sends a lifeboat to students of Securities Regulation in this carefully-crafted study guide. In the highly-regarded style of the Examples & Explanations Series that instructors know they can trust, Palmiter provides textual overviews of the key concepts of the course, followed by examples to test student understanding, and suggested answers To The examples. SECURITIES REGULATION: Examples and Explanations opens with an overview of Securities Markets and Regulation And The Definition of a Security, followed by coverage of: Materiality Registration of Securities Offerings Exemptions from Securities Act Registration Securities Act Liability Secondary and other Post-Offering Distributions Securities Exchange Act of 1934 Rule 10b-5 Insider Trading SEC Enforcement Palmiter also covers topics that sometimes receive cursory attention in class but are important on exams and in practice: Regulation of Securities Professionals U.S. Regulation of Cross-Border Securities Transactions Many of the examples and explanations in the book are drawn from newsworthy events, such as: the initial public offering of Microsoft in 1986 the recent emergence of internet trading a famous securities fraud case that bounced its way To The Supreme Court on a number of occasions With its timely examples, illuminating text, and proven effective format, SECURITIES REGULATION: Examples and Explanations makes it easier for students to learn -- and instructors to teach -- this important but difficult subject. |
| securities regulation choi: International Competitiveness in Financial Services Marvin H. Kosters, A.H. Meltzer, 1991-02-28 financial markets suggests that factors such as differences in capital requirements, limi tations on size or on the range of financial activities in which firms can engage, govern ment guarantee arrangements for deposits or payments, and reporting or disclosure requirements can have important effects on the efficiency of industrial and commercial firms and thus on the international competitive positions of major sectors of the U.S. economy. Regulatory and tax policies must therefore take into account effects on inter national competitive positions in addition to domestic concerns. The articles in this issue analyze differences in market organization and regulation across countries and examine how efficiency in producing financial services is influenced by these differences. These articles were presented and discussed at a conference sponsored by the Amer ican Enterprise Institute in Washington, D.C., on May 31 and June 1, 1990. This confer ence on International Competitiveness in Financial Services brought to the attention of Washington policy officials these analyses by leading scholars in finance. Publication of these studies and critiques in the Journal of Financial Services Research is intended to stimulate further interest in research on these important issues. |
| securities regulation choi: Auction Theory Pak-Sing Choi, Felix Munoz-Garcia, 2021-05-24 This textbook provides a short introduction to auction theory through exercises with detailed answer keys. Focusing on practical examples, this textbook offers over 80 exercises that predict bidders’ equilibrium behaviour in different auction formats, along with the seller’s strategic incentives to organize one auction format over the other. The book emphasizes game-theoretic tools, so students can apply similar tools to other auction formats. Also included are several exercises based on published articles, with the model reduced to its main elements and the question divided into several easy-to-answer parts. Little mathematical background in algebra and calculus is assumed, and most algebraic steps and simplifications are provided, making the text ideal for upper undergraduate and graduate students. The book begins with a discussion of second-price auctions, which can be studied without using calculus, and works through progressively more complicated auction scenarios: first-price auctions, all-pay auctions, third-price auctions, the Revenue Equivalence principle, common-value auctions, multi-unit auctions, and procurement auctions. Exercises in each chapter are ranked according to their difficulty, with a letter (A-C) next to the exercise title, which allows students to pace their studies accordingly. The authors also offer a list of suggested exercises for each chapter, for instructors teaching at varying levels: undergraduate, Masters, Ph.D. Providing a practical, customizable approach to auction theory, this textbook is appropriate for students of economics, finance, and business administration. This book may also be used for related classes such as game theory, market design, economics of information, contract theory, or topics in microeconomics. |
| securities regulation choi: Social Security Policy in a Changing Environment Jeffrey R. Brown, Jeffrey B. Liebman, David A. Wise, 2009-12-15 Social Security Policy in a Changing Environment analyzes the changing economic and demographic environment in which social insurance programs that benefit elderly households will operate. It also explores how these ongoing trends will affect future beneficiaries, under both the current social security program and potential reform options. In this volume, an esteemed group of economists probes the challenge posed to Social Security by an aging population. The researchers examine trends in private sector retirement saving and health care costs, as well as the uncertain nature of future demographic, economic, and social trends—including marriage and divorce rates and female participation in the labor force. Recognizing the ambiguity of the environment in which the Social Security system must operate and evolve, this landmark book explores factors that policymakers must consider in designing policies that are resilient enough to survive in an economically and demographically uncertain society. |
| securities regulation choi: Introductory Psychology Robert Short, 2014-07-30 |
| securities regulation choi: Research Handbook on Corporate Crime and Financial Misdealing Jennifer Arlen, 2018-04-28 Jennifer Arlen brings together 13 original chapters by leading scholars that examine how to deter corporate misconduct through public enforcement and private interventions. Scholars from a variety of disciplines present both theoretical and empirical analyses of organizational and individual liability for corporate crime, liability for foreign corruption, securities fraud enforcement, compliance, corporate investigations, and whistleblowing. This Research Handbook also highlights promising avenues for future research. |
| securities regulation choi: Regulations and Applications of Ethics in Business Practice Jing Bian, Kıymet Tunca Çalıyurt, 2018-06-29 This book presents a variety of discussions from different countries about regulations and applications of ethics in business practice. It demonstrates how Ethics, both in the world of business and in academic life, is consistently a central and unavoidable issue that institutions must devise new regulations on a regular basis to address. Given that applying such regulations becomes complicated in a global business landscape and that International companies have lost large amounts of revenues due to fraudulent activities, the book provides insights for professionals in business world to teach, learn, apply, measure and report on companies' daily business. Business and Professional Ethics: Theories, Standards, and Analysis is essential reading for researchers and students in business schools around the world. |
| securities regulation choi: Privacy and Consumer Empowerment in Online Advertising W. Jason Choi, Kinshuk Jerath, 2022-01-25 Privacy and Consumer Empowerment in Online Advertising provides an overview of the different issues that are in play in consumer privacy and in empowering consumers with rights to manage the privacy of their data. The authors review the existing knowledge on this topic and discuss implications for consumers, for advertisers, and for ad serving platforms that enable advertisers to reach consumers. The introductory section provides an outline and briefly reviews the key ideas. Section 2 discusses the key aspects of the GDPR, the CCPA and the CPRA. Since the implementation of the GDPR in May 2018, some early empirical evidence has emerged of its impact and this is examined in Section 3. The authors review the privacy and economic frameworks in Section 4. Section 5 discusses the theoretical work in this area enhances our understanding of the impact of privacy regulation on consumers and on online advertising. Section 6 examines how consumers are presented with privacy notices and their (in)ability to make privacy choices due to a variety of factors. Section 7 reviews how firms attach value to consumers' data. In light of the passing of privacy regulation, firms have been attempting to develop methods for privacy-preserving targeted advertising. In Section 8, we discuss some of these attempts such as FLoC and TURTLEDOVE, which aim to target consumers based on their interests and/or their website visit history, but without compromising their privacy. Finally, Section 9 concludes with a discussion. An overall summary is that privacy concerns have been heightened in the past two decades and this has led to the passing of privacy regulations addressing data security and privacy rights. After these regulations, a significant minority of consumers have chosen to not provide consent for their data to be collected, used and shared. However, most consumers still do not properly understand the key implications of privacy policies of firms, and more efforts are needed in that regard. Also, technologies are being developed for privacy-preserving user targeting. Finally, regarding firms, data frictions caused by privacy regulations have, in turn, caused negative consequences for small advertisers, publishers and service providers. The authors provide some directions for future work that may be valuable to move thinking forward on this increasingly important topic. |
| securities regulation choi: Federal Rules of Evidence; 2022 Edition Michigan Legal Publishing Ltd, 2021-11 A handy pocket version of the Federal Rules of Evidence (5 x 8), as amended through January 1, 2022. A Perfect quick reference for your desk or briefcase, for both attorneys and law school students. Includes internal rules cross-references for ease of use. Perfect as a supplement for any casebook. Contents: Article 1; General Provisions Article 2; Judicial Notice Article 3; Presumptions in Civil Cases Article 4; Relevance and its Limits Article 5; Privileges Article 6; Witnesses Article 7; Opinions and Expert Testimony Article 8; Hearsay Article 9; Authentication and Identification Article 10; Contents of Writings, Recordings, and Photographs Article 11; Miscellaneous Rules |
| securities regulation choi: Securities Regulation Statutory Supplement, 2020 Edition Stephen J. Choi, A. C. Pritchard, 2020-07-23 Receive complimentary lifetime digital access to the eBook with new print purchase. This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act. |
| securities regulation choi: Entrepreneurial Litigation John C. Coffee, 2015-06-08 In class actions, attorneys effectively hire clients rather than act as their agent. Lawyer-financed, lawyer-controlled, and lawyer-settled, this entrepreneurial litigation invites lawyers to act in their own interest. John Coffee’s goal is to save class action, not discard it, and to make private enforcement of law more democratically accountable. |
| securities regulation choi: Research Handbook on Representative Shareholder Litigation Sean J. Griffith, Jessica Erickson, David H. Webber, Verity Winship, 2018 Written by leading scholars and judges in the field, the Research Handbook on Representative Shareholder Litigation is a modern-day survey of the state of shareholder litigation. Its chapters cover securities class actions, merger litigation, derivative suits, and appraisal litigation, as well as other forms of shareholder litigation. Through in-depth analysis of these different forms of litigation, the book explores the agency costs inherent in representative litigation, the challenges of multijurisdictional litigation and disclosure-only settlements, and the rise of institutional investors. It explores how related issues are addressed across the globe, with examinations of shareholder litigation in the United States, Canada, the United Kingdom, the European Union, Israel, and China. This Research Handbook will be an invaluable resource on this important topic for scholars, practitioners, judges and legislators. |
| securities regulation choi: Securities Regulation Louis Loss, 1969 |
| securities regulation choi: Company Law Alan J. Dignam, John Lowry, 2006 Author order on cover and title page reads Alan Dignam and John Lowry. Previous editions have John Lowry as first author. |
| securities regulation choi: Regulatory Convergence in EU Securities Regulation Iris H.-Y. Chiu, 2008-01-01 Offers a new approach to the legal issues raised by the drive for convergence in securities regulation. The author offers an informed and insightful examination of the implications for regulatory and policy design if regulatory convergence were to be rigorously implemented. |
| securities regulation choi: Secured Transactions Lynn M. LoPucki, Elizabeth Warren, Robert M. Lawless, 2019-10-31 The premier authority on secured transactions, Secured Transactions: A Systems Approach is known for its cutting-edge coverage, dynamic pedagogy, and ease of use for instructors. The Systems Approach gives students the big picture. Straightforward explanations and cases prepare the students to solve real-life problems in the context of actual transactions. A modular structure allows for tremendous flexibility in course design. The materials are divided into bite-sized assignments, making it easier for instructors to make and adjust assignments for class. This problem-based casebook supports the teaching of Article 9 alone or expansion of the course to include Article 9 in the full context of bankruptcy, mortgages, judicial liens, and statutory liens. New to the 9th Edition: Updated throughout, while retaining the same structure. Highly adaptable modular text broken into assignments. Main sections can be taught in any order. New cases throughout (including the Second Circuit’s landmark decision in In re Motors Liquidation). Problem-based approach with ethics integrated. Problems progress from easy to difficult. Professors and students will benefit from: Comprehensive Teacher’s Manual with suggestions for teaching coverage, changes from the prior edition, lists of key concepts for each assignment, and the answers to every question asked in the book. The main sections can be taught in any order. Bite-sized assignments organized for 50-minute or 75-minute classes. Can support ABA-qualified experiential courses. Casebook authors who are happy to engage with adopters and include them as characters in the book. Coverage of non-Article 9 aspects of secured transactions that students will need as lawyers Default problem sets for ease of assignment; extra problems for variety from year to year. Engaging problems with interesting characters and real-world issues, providing all of the information necessary to solve the problems. A real-life approach that prepares students for the practice of law. Clear explanations of every subject – no hiding of the ball. Basic financial literacy information included throughout the book. Focus on how lien systems actually work in practice. |
| securities regulation choi: Securities Regulation 2008 Larry D. Soderquist, Theresa A. Gabaldon, 2008-07 This is the 2008 Supplement updating the 6th Edition of Soderquist and Gabaldon's Securities Regulation casebook. |
| securities regulation choi: Securities Regulation James D. Cox, Robert William Hillman, Donald C. Langevoort, 2006 Covers the Offering Rules, the sweeping reforms for the public offering of securities adopted by the SEC in June 2005. This work includes the Dura Pharmaceuticals decision, with note material examining the full implications; examines the developments regarding forward looking statements and the significant Supreme Court decision; and more. |
| securities regulation choi: A Practical Guide to SEC Proxy and Compensation Rules Amy L. Goodman, John F. Olson, 2002 Written by leading authorities, the Third Edition of A Practical Guide to SEC Proxy and Compensation Rules provides expert analysis and valuable tips and pointers on everything you need to know to master the proxy process and ensure compliance with the SEC's rules. You get comprehensive guidance on such essential issues as: - Provisions of the Sarbanes-Oxley Act of 2002 impacting executive compensation, proxy disclosures and audit committees. - Preparing the executive compensation tables and compensation committee report--plus examples and the full text reports of seven companies - Explanations of the FASB rules on accounting for stock options - Discussions on the requirements necessary to ensure the tax deductibility of executive compensation under IRC Section 162(m) - Descriptions of the disclosure requirements for a company seeking shareholder approval of certain employee benefit plans - Analysis of institutional activism under the proxy rules - And much more. Insightful analysis throughout this guide of how companies have responded to the SEC regulations and on the positions taken by the SEC will help you prepare day-to-day disclosures as well as long-range plans. Valuable appendixes contain SEC and DOL releases, rules and regulations. |
| securities regulation choi: Wills, Trusts, and Estates, Tenth Edition Robert H. Sitkoff, Jesse Dukeminier, 2017-06-05 Wills, Trusts, and Estates |
| securities regulation choi: Justice Lewis F. Powell, Jr John Calvin Jeffries, 2001 Justice Lewis F. Powell, Jr. is an absorbing and readable biography of one of the most important Supreme Court Justices since World War II. |
| securities regulation choi: Securities Regulation , 2019 This title contains briefs for each major case in Choi and Pritchard's casebook on Securities Regulation. These briefs will help you identify, understand, and absorb the core knowledge points from each case. They are followed by legal analysis, providing contextual background about each case, and connecting the case to the broader concepts developed throughout the casebook. This title also supplies case vocabulary, with definitions of new or unusual legal words found throughout the cases. Finally, to enhance your recall, there is a corresponding memory graphic for each brief that portrays a visual representation of the relevant facts or law of the case. |
| securities regulation choi: The Transformation of Wall Street Joel Seligman, 2003 Since 1977, The Transformation of Wall Street has offered an in-depth look at the history of the SEC's origins, accomplishments, and failings since its creation in 1934. This updated third edition continues the history until 2001, the end of Arthur Levitt's Chairmanship, with a treatment of auditing issues through the enactment of the Sarbanes-Oxley Act . |
| securities regulation choi: Principles of Antitrust Herbert Hovenkamp, 2025-03-24 Nearly all of the aspects of federal antitrust policy are covered in this book. And it's written so you don't need a background in economics to understand it. Expert narration states the black letter law and presents policy arguments for alternatives. Text also includes an analysis of recent Supreme Court and lower-court decisions. |
| securities regulation choi: Securities Regulation Stephen Jung Choi, Adam C. Pritchard, 2012 This statutory supplement includes the most widely referenced statutory sections, rules, and forms, from the Securities Act of 1933, the Securities Exchange Act of 1934, the Sarbanes-Oxley Act and changes from the JOBS Act. |
| securities regulation choi: Broker-dealer Regulation in a Nutshell Thomas Lee Hazen, 2003 This title is designed to provide an introduction and overview of broker-dealer regulation in the securities markets. It covers broker-dealer front office and back office issues as well as market regulation generally. It gives you with an understanding of basic concepts and the basic regulatory scheme, providing an explanation of broker-dealer regulation generally, sales practices, analysts' conflicts of interest, civil liabilities, and arbitration. |
| securities regulation choi: The Advantage of Competitive Federalism for Securities Regulation Roberta Romano, 2002 In this analysis of securities regulation, the author demonstrates that the current approach toward U.S. regulation - exclusive jurisdiction of the Securities and Exchange Commission - is misguided and should be revamped by implementing a regime of competitive federalism. Under such a system firms would select their regulator from among the states, the SEC, or other nations. The author asserts that competitive federalism harnesses the high-powered incentives of markets to the regulatory state to produce regulatory arrangements most compatible with investors' preferences. The author contends that the empirical evidence does not indicate that the SEC is effective in achieving its stated objectives. The commission's expansions of disclosure requirements over the years have not significantly enhanced investors' wealth. In addition, she asserts, evidence from institutional equity and debt markets and cross-country listing practices demonstrates that firms voluntarily disclose substantial information beyond mandatory requirements to provide the information investors demand. The author concludes that under competitive federalism, the aspects of the SEC's regime that are valuable to investors will be retained, those that are not will be discarded, and the resulting securities regime will better meet investors' needs than the present one. |
| securities regulation choi: Dark Trading Anna-Carina Salger, 2020-01-20 This timely book explores the pressing topic of dark trading. Following new EU legislation regulating financial markets (MiFID II and MiFIR), it traces the rapid development of off-market securities trading (dark trading), analyzes economic studies of this development, and positions the resulting regulatory framework of the EU over against that of the US. The study closes with proposals for reform that provide new impetus for further scientific discussion. |
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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 | Paul S. Atkins Sworn In as SEC Chairman
Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, …
Newsroom - SEC.gov
4 days ago · Securities Topics. Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers
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 …
The Work of the SEC - SEC.gov
Dec 21, 1999 · The SEC protects investors by enforcing our nation's securities laws, taking action against wrongdoers, and overseeing our securities markets and firms to ensure that investors …
SEC.gov | Statutes and Regulations
Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning …
Rules and Regulations - SEC.gov
Aug 14, 2024 · See an index of various SEC proposed and final rules as well as other Commission releases and notices related to our regulatory obligations under the federal …
About - SEC.gov
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 …
Official List of Section 13 (f) Securities - SEC.gov
Apr 7, 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 | Compliance and Disclosure Interpretations
We welcome requests for interpretive advice and other assistance relating to the areas of the federal securities laws that the Division administers and interprets. Please use this form or …
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 | Paul S. Atkins Sworn In as SEC Chairman
Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, …
Newsroom - SEC.gov
4 days ago · Securities Topics. Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers
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 …
The Work of the SEC - SEC.gov
Dec 21, 1999 · The SEC protects investors by enforcing our nation's securities laws, taking action against wrongdoers, and overseeing our securities markets and firms to ensure that investors …
SEC.gov | Statutes and Regulations
Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning …
Rules and Regulations - SEC.gov
Aug 14, 2024 · See an index of various SEC proposed and final rules as well as other Commission releases and notices related to our regulatory obligations under the federal …
About - SEC.gov
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 …
Official List of Section 13 (f) Securities - SEC.gov
Apr 7, 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 | Compliance and Disclosure Interpretations
We welcome requests for interpretive advice and other assistance relating to the areas of the federal securities laws that the Division administers and interprets. Please use this form or …
