Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Find registration statements, periodic reports, and other forms by typing the name or ticker symbol of a company (CIK lookup info) (confidential treatment orders) (SEC correspondence with issuers)

An official website of the United States government · Here’s how you know

An official website of the United States government · Here’s how you know

These examinations will include attention to the maturation of, and improvements to, business continuity and disaster recovery plans over the years, as well as registrants’ resiliency as organizations to anticipate, prepare for, respond to, and adapt to both sudden disruptions and incremental changes stemming from climate-related situations. In light of the proposed cybersecurity reforms for investment advisers and investment companies, advisers and funds should anticipate more enhanced requests in this area. The SEC is expected to continue its focus on cryptocurrency and digital assets, and enhanced examinations in this area, too, should be expected.

Pursuant to Item V-A, Part 1 of the 2021 AMLC Registration and Reporting Guidelines (ARRG), 10 November 2025 is declared as non-reporting day and is excluded in the counting of the prescribed reporting period. Should you have any queries, you may refer to the ARRG Hotlines posted on the AMLC Website. ... Effective on the dates listed below, the following provisions will be implemented in accordance with Chapter I, Section ...

Investors are sometimes surprised to learn the SEC does not have information about all companies that offer and sell securities. When a company conducts a registered offering or an exempt offering under Regulation A or Regulation Crowdfunding, the company is required to file information about the company, including financial statements, and a description of the offering with the SEC.

The NASD Regulation Public Disclosure Program contains public information about NASD member firms and their associated persons, including registration status, address information, types of business conducted, legal status, and disciplinary history. The site is maintained at www.nasdr.com/2000.htm.

The Securities and Exchange Commission (“Commission”) is formally withdrawing certain notices of proposed rulemaking issued between March 2022 and November 2023. The Commission does not intend to issue final rules with respect to these proposals. If the Commission decides to pursue future regulatory action in any of these areas, it will issue a new proposed rule. ... Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies

The SEC company verification system allows users to check whether or not a company is registered with the SEC either as a corporation or as a partnership.

The SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to file a Form D with the SEC.

November 6, 2023 - The SEC recorded a total of 42,926 corporate registrations in 2022, 13 percent higher than 38,052 seen in the previous year.

3235-0157] Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 Extension: Form N-8F Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. Form N-8F (17 CFR 274.218) is the form prescribed for use by registered investment companies in certain circumstances to request orders of the Commission declaring that the registration of that investment company cease to be in effect.

Corporation Finance Home · Alphabetical Listing by Company Name December 31, 2015 Geographic Listing by Country of Incorporation December 31, 2015 Market Summary December 31, 2015 Summary Information Based on Country of Incorporation December 31, 2015 Archive Reports Alphabetical ListingGeographic ...

Answer (1 of 5): The SEC is not an exchange, so “listed” isn’t the correct term here. Companies selling securities in the US or to US investors are required to either register with the SEC or have an exemption. Even with an exemption, most of the time there will be some form of filing (usually a ...

This Investment Company Registration and Regulation Package (“Package”) contains general information about investment companies (e.g., mutual funds, closed-end funds, and unit investment trusts) and supersedes the “Investment Company Registration Package” that was previously distributed in a printed format.

All content is in the public domain unless otherwise stated

The Series and Class Report provides basic identification information for all active registered investment company series and classes have been issued IDs by the Commission. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds (Form N-3 filers), insurance separate accounts organized as unit investment trusts (Form N-4 and Form N-6 filers) investment companies (see adopting release http://www.sec.gov/rules/final/33-8590.pdf) have been required to use these IDs when making their electronic filings with the Commission.

Sorry, it seems that we’re not able to find what you’re looking for · All content is in the public domain unless otherwise stated

May 15, 2025 - The SEC’s eSPARC has two (2) types of application process: Regular Processing and One-Day Submission and E-registration of Companies (OneSEC) Processing.

October 1, 2024 - CAPITAL MARKET PARTICIPANTS · Exchanges, SROs, Clearing Agencies, Depository Transfer Agents • Directory • New Registrants • Renewal Lending Agents for SBL Registrars of Qualified Buyers Alternative Trading System