Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system.

The staff of the Division of Trading and Markets (the “Staff”) of the Securities and Exchange Commission (“Commission”) has prepared the following responses to frequently asked …

Search and access full text of electronic filings for Benco, LLC on SEC's EDGAR database.

This document provides a comprehensive guide to Broker-Dealer registration, including the laws, rules, and regulations.

What is the role of accredited investors? For many companies raising capital in the private markets, the accredited investor definition may define who is in their pool of potential …

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 …

3 days ago · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, …

In general, registration forms call for: a description of the company's properties and business; a description of the security to be offered for sale; information about the management of the …

In addition to these examples, there are other types of private funds and hybrid investment approaches. A new fund manager should consult with legal counsel as to the type of fund that …

Jan 2, 2025 · A security-based swap dealer (SBSD) or major security-based swap participant (MSBSP) that has timely submitted a complete Form SBSE-C and a complete Form SBSE, …