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 investing …

Jan 23, 2025 · 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; …

2 days ago · Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets.

Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to …

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

2 days ago · Notices of Effectiveness A compilation of Securities Act registration statements and post-effective amendments that were declared effective on the most recently completed business day.

Nov 18, 2025 · The SEC maintains a robust national examination program to ensure that firms offering securities-related services or advice are fully complying with rules and regulations as well as their …

3 days ago · Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.

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 place.

We protect investors by vigorously enforcing the federal securities laws to ensure truth and fairness. We deter misconduct, hold wrongdoers accountable, and provide resources to help investors evaluate …