Jul 2, 2024 · 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 …

SEC Meetings and Other Events Joint Compliance Outreach Program for Municipal Advisors, Dealers, and Other Market Professionals The SEC, Financial Industry Regulatory Authority …

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 …

Jul 1, 2025 · SEC rules require disclosure of information relating to the identity and experience of those entrusted with the management of the issuer, including executive officers, directors, and …

We would cease to be an emerging growth company on the date that is the earliest of (i) the last day of the fiscal year in which we have total annual gross revenues of $1.235 billion or more; …

Jun 13, 2025 · “I’m pleased to come back to the SEC along with Chairman Atkins,” said Mr. Hohl. "This is a pivotal time for our capital markets, and I look forward to working with the dedicated …

May 6, 2025 · Two of our SEC colleagues from the Miami office with necessary, specific expertise played a key role in uncovering problematic activity of a Philadelphia asset manager by …

Jun 23, 2025 · Muhlendorf was a Senior Counsel in the SEC Enforcement Division from 2004 to 2010. “Kevin has the ideal combination of experience in internal investigations, compliance …

May 19, 2025 · As a result of that collaboration between the SEC and market participants, the DTC was eventually established as an industry co-operative, later becoming the Depository …

Feb 2, 2001 · About the SEC: agency functions, job listing, contact information, etc..