The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws.

Feb 11, 2010 · 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. The Form D serves as a brief notice that provides information about the company and the offering.

Jan 23, 2025 · The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC has up to five Commissioners appointed by the President on the advice and consent of the Senate. No more than three Commissioners can be members of the same political party. Chair and Commissioners; Budget/Operations

A search engine to find Central Index Key numbers assigned by the SEC to corporate or individual filers. Public Dissemination Service (PDS) An option to subscribe to a privatized system to receive a dedicated feed of all public EDGAR filings.

Jan 21, 2025 · The SEC's Small Business Capital Formation Advisory Committee will hold a public meeting via videoconference to discuss matters relating to rules and regulations affecting small and emerging businesses and their investors under the federal securities laws.

Nov 22, 2024 · The SEC also received 45,130 tips, complaints, and referrals in fiscal year 2024, the most ever received in one year, including more than 24,000 whistleblower tips, more than 14,000 of which were submitted by two individuals. The SEC issued whistleblower awards totaling $255 million. Crediting Market Participants Who Practice Proactive Compliance

Jun 18, 2008 · Compliance and Disclosure Interpretations (Regarding Submission of Annual Reports to SEC) (UPDATED 01/11/23) Compliance and Disclosure Interpretations (Regarding Description under Rule 14a-4(a)(3) of Rule 14a-8 Shareholder Proposals) (UPDATED 03/22/16)

Feb 21, 2012 · Filings & Forms. All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR.

At the Securities and Exchange Commission (SEC), we work together to make a positive impact on the U.S. economy, our capital markets, and people’s lives. Since our founding in 1934 at the height of the Great Depression, we have stayed true to our mission of protecting investors, maintaining fair, orderly, and efficient markets, and ...

Dec 16, 2024 · According to the SEC’s order, BD determined in 2016 that software changes made to the Alaris pump required regulatory clearance from the Food and Drug Administration (FDA). However, BD did not have the data required for clearance, and generating the data would delay the release of new features, so BD continued selling the pump without clearance.