SEC.gov | Statutes and Regulations
This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the …
SEC.gov | Home
Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and …
SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …
Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have …
SEC.gov | About
The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. The SEC’s mission is to protect investors; …
Newsroom - SEC.gov
Jan 8, 2026 · The SEC, Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) are holding a virtual two-day compliance outreach program for …
SEC.gov | Asset-Backed Securities (ABS) Issuances
Asset-backed securities (ABS) are securities that are primarily serviced by the cash flow of financial assets such as residential and commercial mortgage loans, auto leases, or credit …
SEC.gov | Exempt Offerings
Every offer and sale of securities must either be registered under the Securities Act of 1933 or rely on an available exemption from registration, most of which are listed below.
Enchanting, but Not Magical: A Statement on the Tokenization of …
Jul 8, 2025 · Blockchain technology has unlocked novel models for distributing and trading securities in a “tokenized” format. Tokenization may facilitate capital formation and enhance …
Securities Act Sections - SEC.gov
Mar 12, 2025 · Answer: Yes. Because the securities are convertible or exercisable within one year, an offering of both the overlying security and underlying security is deemed to be taking …
Careers at the Securities and Exchange Commission - SEC.gov
The U.S. Securities and Exchange Commission (SEC) is seeking the best and brightest talent to help strengthen our workforce to better serve as the investor's advocate.