| Division Of Investment Management

The Division of Investment Management supports the Commission in its mission to protect investors, maintain fair, orderly and efficient markets, and facilitate capital formation.

Actived: Thursday Jan 1, 1970

Via | Alternative Trading System ("ATS") List

(53 years ago) Jun 30, 2022  · Regulation ATS establishes a regulatory framework for “alternative trading systems” (“ATSs”). An ATS is a trading system that meets the definition of “exchange” under federal securities laws but is not required to register as a national securities exchange if the ATS operates under the exemption provided under Exchange Act Rule 3a1-1(a).

Category: Coupon, Get Code | Information About Registered Investment Advisers and …

(53 years ago) Aug 02, 2022  · The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.

Category: Coupon, Get Code

IAPD - Investment Adviser Public Disclosure - Homepage

(53 years ago) For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data.. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate …

Category: Coupon, Get Code | About the SEC

(53 years ago) Nov 22, 2016  · The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust.

Category: Coupon, Get Code | Report Suspected Securities Fraud or Wrongdoing

(53 years ago) Sep 20, 2017  · Fraudulent or unregistered offer or sale of securities, including things like Ponzi schemes; Pyramid schemes ; High-Yield Investment Programs; Theft or …

Category: Coupon, Get Code | Careers at the Securities and Exchange Commission

(53 years ago) May 07, 2021  · The SEC is looking for the best and brightest to help strengthen their team in order to better serve as the investor's advocate. The Securities and Exchange Commission is currently seeking qualified applicants for numerous positions.

Category: Coupon, Get Code | Office of Inspector General

(53 years ago) The Whistleblower Protection Enhancement Act of 2012 protects federal employees who disclose evidence of waste, fraud, or abuse. Under the Act, the statement below, upon this or other notice, is incorporated into the SEC’s and SEC OIG’s nondisclosure policies, forms, or agreements in effect before the Act’s effective date of December 27, 2012:

Category: Coupon, Get Code | HOME

(53 years ago) The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.

Category: Coupon, Get Code | EDGAR Full Text Search

(53 years ago); EDGAR; FAQ; Other search tools; The new EDGAR advanced search gives you access to the full text of electronic filings since 2001.

Category: Coupon, Get Code | SEC Charges Rochester, NY, and City’s Former …

(53 years ago) Jun 14, 2022  · The Securities and Exchange Commission today charged the City of Rochester, New York, its former finance director Rosiland Brooks-Harris, and former Rochester City School District CFO Everton Sewell with misleading investors in a $119 million bond offering.

Category: Coupon, Get Code | Tips, Questions, and Complaints

(53 years ago) Dec 15, 2021  · How We Handle Your Concerns about the SEC, SROs, and Compliance with Securities Laws. Learn how the Ombudsman assists investors, facilitates communication, maintains confidentiality, and identifies options to help resolve concerns about the SEC, Self-Regulatory Organizations (SROs), and compliance with the securities laws.

Category: Coupon, Get Code


(53 years ago) Electronic messages, whether authorized or unauthorized, constitutes consent to the retrieval and disclosure of information stored within the system, including information stored locally on the hard drive or other media in use with this unit (e.g., floppy disks, personal digital assistants and other hand-held peripherals, and CD-ROMs).

Category: All, Get Code | Filings & Forms - EDGAR

(53 years ago) Jan 09, 2017  · All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR.

Category: All, Get Code

EDGAR Filer Management

(53 years ago) Notice: Before you can electronically file with the SEC on EDGAR, you must become an EDGAR filer with authorized access codes. This website will allow you to create a Form ID and submit it for authorization to the SEC. Upon acceptance, you will receive a unique CIK via e-mail. You will then return to this site and use your CIK and a passphrase to create your EDGAR access codes.

Category: All, Get Code

EDGAR Entity Landing Page - SEC

(53 years ago) This company's Exchange Act registration has been revoked This company's Exchange Act registration as a Municipal Advisor has been revoked

Category: Coupon, Get Code | EDGAR—Search and Access

(53 years ago) Sep 27, 2021  · You can search information collected by the SEC using a variety of search tools. EDGAR full text search. New versatile tool lets you search for keywords and phrases in over 20 years of EDGAR filings, and filter by date, company, person, filing category, or location.; Boolean and advanced searching, including addresses Search by:

Category: Coupon, Get Code | Check Your Investment Professional

(53 years ago) Sep 07, 2018  · Investing in your future means saving for retirement, college or a rainy day fund. If you're working with an investment professional, or someone is trying to sell you an investment, check them out before handing over your hard-earned money.

Category: Coupon, Get Code | Regulatory Actions

(53 years ago) Jun 07, 2021  · This page provides links to releases concerning SEC rulemaking activity, including concept releases, proposed rules, final rules, interpretive releases, and policy statements.

Category: Coupon, Get Code | Enforcement

(53 years ago) Jun 24, 2021  · This page provides information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.

Category: Coupon, Get Code | small business

(53 years ago) Apr 28, 2022  · Information for small businesses. A small business can raise capital in a number of different ways, including by selling securities. Under the federal securities laws, every offer and sale of securities, even if to just one person, must either be registered with the SEC or conducted under an exemption from registration.

Category: All, Get Code | SEC Divisions Homepages

(53 years ago) Jul 06, 2021  · SEC Organization Chart (text version also available). For detailed descriptions of SEC offices and divisions, please read What We Do.

Category: Coupon, Get Code | Upcoming Events

(53 years ago) 2 days ago  · SEC Meetings and Other Events. All SEC open meetings and many other public events are webcast. A hyperlink to the webcast will be posted to …

Category: All, Get Code | Education

(53 years ago) Jul 22, 2022  · Small Business Capital Raising Hub. Explore SEC resources to help you understand the rules for raising capital from investors.

Category: All, Get Code

Self-Regulatory Organization Rulemaking

(53 years ago) Aug 01, 2022  · Selected rulemaking releases from the securities industry Self-Regulatory Organizations (SROs).

Category: Coupon, Get Code | Newsroom

(53 years ago) Aug 01, 2022  · Subscribe to E-mail Alerts. Signup for emails that will deliver SEC News direct to your inbox.

Category: Coupon, Get Code | Paper Forms 144 Submitted Via Email

(53 years ago) Jul 14, 2022  · Paper Forms 144 Submitted Via Email. April 10, 2020 Current Filings. August 8, 2022; August 2022 Filings

Category: Coupon, Get Code


(53 years ago) The EDGAR company database is a subset of the data maintained by the EDGAR system and contains over 500,000 records. Filers may search for and view company information about various EDGAR filing entities; this information includes data such as …

Category: Coupon, Get Code | Office of the Whistleblower

(53 years ago) Apr 04, 2017  · Final Orders of the Commission. The following orders set forth the final disposition of applications for awards received by the Office of the Whistleblower.

Category: Coupon, Get Code