Us securities and exchange commission

EDGAR | Company Filings

us securities and exchange commission

EDGAR | Search Tools - How Do I Use EDGAR? - Forms List -.

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Securities And Exchange Commission? The Securities and Exchange Commission is an independent government agency responsible for regulating the securities industry in the United States. In this capacity, it pursues a three-part mission: to protect investors, to maintain the fairness and safety of securities markets, and to facilitate capital formation. The first regulatory body of its kind, the SEC was introduced after the stock market crash of when public confidence in the securities industry was at a low. The SEC is primarily concerned with monitoring the key participants in the securities industry: securities exchanges, brokers and dealers, investment advisors and mutual funds. It ensures that each discloses important market information to their investors and protect against financial crime including money laundering, terrorist financing, insider trading, and fraud. Coordinating across its five divisions, in its own words the SEC is responsible for:.

Ticker symbol or CIK is the fastest way to find company filings. Company Filing.
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The U. It was created by Congress in as the first federal regulator of the securities markets. The SEC promotes full public disclosure, protects investors against fraudulent and manipulative practices in the market, and monitors corporate takeover actions in the United States. Generally, issues of securities offered in interstate commerce, through the mail or on the Internet, must be registered with the SEC before they can be sold to investors. Financial services firms—such as broker-dealers, advisory firms and asset managers, as well as their professional representatives—must also register with the SEC to conduct business.

Securities and Exchange Commission

Company Filings More Search Options. The SEC is closely monitoring Hurricane Dorian and stands ready to help ensure investor access to their securities accounts, provide extensions to filing or other regulatory deadlines, and to keep a watchful eye for storm-related scams.

EDGAR | Search Tools

The U. The SEC holds primary responsibility for enforcing the federal securities laws, proposing securities rules, and regulating the securities industry, the nation's stock and options exchanges, and other activities and organizations, including the electronic securities markets in the United States. The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated companies submit quarterly and annual reports , as well as other periodic reports. In an attempt to level the playing field for all investors, the SEC maintains an online database called EDGAR the Electronic Data Gathering, Analysis, and Retrieval system online from which investors can access this and other information filed with the agency. Quarterly and semiannual reports from public companies are crucial for investors to make sound decisions when investing in the capital markets. Unlike banking , investment in the capital markets is not guaranteed by the federal government.

Company Filings More Search Options. Note: Except as otherwise noted, the links to the securities laws below are from Statute Compilations maintained by the Office of the Legislative Counsel, U. House of Representatives. These links are provided for the user's convenience and may not reflect all recent amendments. If you have questions concerning the meaning or application of a particular law, please consult with an attorney who specializes in securities law. Often referred to as the "truth in securities" law, the Securities Act of has two basic objectives:. See the full text of the Securities Act of


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  1. Icon: We Enforce Federal Securities Laws Icon: We Regulate Securities Markets . The U.S. Securities and Exchange Commission wants to hear from you!.

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