Rules and Regulations - SEC.gov
Aug 14, 2024 · The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change …
SEC.gov | Rules and Regulations for the Securities and Exchange ...
Regulation S-T ? General Rules and Regulations for Electronic Filings: Part 239: e-CFR Forms Listing PDF Versions of SEC Forms: Securities Exchange Act of 1934: Part 240: General …
SEC.gov | Statutes and Regulations
SRO proposed rules are subject to SEC review and published to solicit public comment. While many SRO proposed rules are effective upon filing, some are subject to SEC approval before …
SEC.gov | Rules, Regulations and Schedules
Jul 20, 2010 · The following rules, regulations and schedules apply to disclosure documents filed with the SEC that are subject to review by the Division of Corporation Finance. Regulation S-X …
SEC.gov | Laws and Rules
May 13, 2020 · This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments …
SEC.gov | Home
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 …
Rulemaking Activity - SEC.gov
This index of the SEC’s rulemaking activity can be filtered by year, status (proposed or final), or division/office that recommended the rulemaking to the Commission. Twice a year under the …
SEC.gov | Division of Trading and Markets
Jan 30, 2025 · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, …
SEC.gov | SEC Adopts Rules to Enhance Investor Protections …
Jan 24, 2024 · The rules also update and expand guidance on the use of projections in all SEC filings. The adopting release is published on SEC.gov and will be published in the Federal …
SEC.gov | SEC Adopts Rules on Cybersecurity Risk Management, …
Jul 26, 2023 · The Securities and Exchange Commission today adopted rules requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual …