SEC.gov | Rules and Regulations for the Securities and Exchange ...
PDF Versions of SEC Forms: Part 249B: Further Forms, Securities Exchange Act of 1934: Part 255: Proprietary Trading and Certain Interests in and Relationships with Covered Funds: Trust Indenture Act of 1939: Part 260: General Rules and Regulations: Part 261: Index of Interpretive Releases: Part 269: e-CFR Forms Listing PDF Versions of SEC Forms
SEC.gov | SEC Adopts Rule Amendments to Regulation S-P to …
2024年5月16日 · “Over the last 24 years, the nature, scale, and impact of data breaches has transformed substantially,” said SEC Chair Gary Gensler. “These amendments to Regulation S-P will make critical updates to a rule first adopted in 2000 and …
Regulation A - SEC.gov
2024年11月14日 · Regulation A is an exemption from registration for public offerings. Regulation A has two offering tiers: Tier 1, for offerings of up to $20 million in a 12-month period; and Tier 2, for offerings of up to $75 million in a 12-month period.
SEC.gov | Regulation Systems Compliance and Integrity
2023年6月13日 · The Securities and Exchange Commission (“Commission” or “SEC”) is proposing amendments to Regulation Systems Compliance and Integrity (“Regulation SCI”) under the Securities Exchange Act of 1934 (“Exchange Act”).
Rulemaking Activity - SEC.gov
2025年3月18日 · 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 Regulatory Flexibility Act, the SEC is required to publish an agenda identifying rules that the agency estimates it may consider in the next 12 months.
Regulation Best Interest - SEC.gov
2019年9月10日 · Email: [email protected] Phone: (202) 551-5777. If you are an investment adviser or associated with an investment adviser, please contact the Division of Investment Management for general information: General Questions - Investment Advisers Division of Investment Management Chief Counsel’s …
Regulation Best Interest, Form CRS and Related Interpretations
The SEC adopted a package of rulemakings and interpretations in 2019 that were designed to enhance the quality and transparency of retail investors’ relationships with their investment advisers and broker-dealers.
SEC.gov | Compliance and Disclosure Interpretations
2025年3月12日 · 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)
Regulation S-K - SEC.gov
2025年3月20日 · Question 102.03. Question: Under the definition of "smaller reporting company" in Item 10(f) of Regulation S-K, does the corporate parent of a majority-owned subsidiary have to satisfy the public float or revenue requirements of the definition in order for the majority-owned subsidiary to qualify as a smaller reporting company?
SEC.gov | Rules, Regulations and Schedules
2010年7月20日 · 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 [17 CFR Part 210] Form and content of and requirements for financial statements; Regulation Crowdfunding [17 CFR Part 227]