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https://www.sec.gov/ SEC.gov | Home sec gov https://www.sec.gov/search-filings SEC.gov | Search Filings sec gov search filings https://www.sec.gov/rules-regulations/2011/03/american-family-life-insurance-company-et-al SEC.gov | American Family Life Insurance Company, et al. family life insurance sec gov american company et https://www.sec.gov/rules-regulations/2016/02/charles-schwab-investment-management-inc-et-al SEC.gov | Charles Schwab Investment Management, Inc., et al. sec gov charles schwab investment management inc et https://www.sec.gov/enforcement-litigation/litigation-releases/lr-18665 SEC.gov | Ira Zar, David Rivard, and David Kaplan sec gov david rivard ira zar kaplan https://www.sec.gov/enforcement-litigation/litigation-releases/lr-19505 SEC.gov | Richard Glen Spradling sec gov richard glen spradling https://www.sec.gov/newsroom/speeches-statements/stein-opening-remarks-acsec-051816 SEC.gov | Advisory Committee on Small and Emerging Companies Opening Remarks sec gov advisory committee small and emerging companies https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/werner-group SEC.gov | Public Alert: Werner Group sec gov public alert werner group https://www.sec.gov/rules-regulations/2007/09/request-interpretive-guidance-climate-risk-disclosure SEC.gov | Request for interpretive guidance on Climate Risk Disclosure sec gov climate risk request interpretive guidance https://www.sec.gov/enforcement-litigation/opinions-adjudicatory-orders/34-44945 SEC.gov | Jim Newcomb sec gov jim newcomb https://www.sec.gov/rules-regulations/self-regulatory-organization-rulemaking/sr-iceeu-2017-013 SEC.gov | Notice Relating to the ICE Clear Europe Procyclicality Framework sec gov to the notice https://www.sec.gov/file/34-54461 SEC.gov | 34-54461.pdf sec gov 34 54461 pdf https://www.sec.gov/newsroom/speeches-statements/roisman-20211220 SEC.gov | Statement of Commissioner Elad L. Roisman Statement of Commissioner Elad L. Roisman Commissioner Elad L. Roisman December 20, 2021 sec gov statement commissioner elad roisman https://www.sec.gov/comments/4-610/4-610.shtml SEC.gov | Comments on State of the Municipal Securities Market Field Hearings sec gov of the https://www.sec.gov/spotlight/equity-market-structure/emsac-customer-issues-subcommittee-071916.htm SEC.gov | Equity Market Structure Advisory Committee - Customer Issues Subcommittee: Summary... equity market structure sec gov advisory committee https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/private-fund-management-sa SEC.gov | Public Alert: Private Fund Management S.A. sec gov private fund public alert management https://www.sec.gov/enforcement-litigation/litigation-releases/lr-22431 SEC.gov | Phillip W. Offill, Jr., et al. sec gov phillip w offill jr https://www.sec.gov/search-filings/edgar-search-assistance/how-do-i-use-edgar?ref=fsc.stevens.edu SEC.gov | How Do I Use EDGAR? how do i sec gov use edgar https://www.sec.gov/enforcement-litigation/administrative-proceedings/33-7928 SEC.gov | US Diagnostic Inc. and Jeffrey Goffman sec gov us diagnostic inc jeffrey https://www.sec.gov/file/forms-144-2021-01-06 SEC.gov | January 6, 2021 sec gov january 6 2021 https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/united-states-bureau-securities-registration SEC.gov | Public Alert: United States Bureau of Securities Registration sec gov united states bureau of public alert https://www.sec.gov/enforcement-litigation/whistleblower-program/notice-covered-actions/award-claim-2016-144 SEC.gov | SEC v. Norstra Energy Inc., Glen Landry and Eric Dany sec gov energy https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/financial-fraud-enforcement-task-force SEC.gov | Public Alert: Financial Fraud Enforcement Task Force sec gov financial fraud public alert enforcement https://www.sec.gov/newsroom/speeches-statements/2014-spch040314dmg SEC.gov | Remarks Before the SEC / Academy of Finance Student Shadowing Program Commissioner Daniel M. Gallagher's Remarks Before the SEC / Academy of Finance Shadowing Program academy of finance sec gov student shadowing remarks https://www.sec.gov/enforcement-litigation/litigation-releases/lr-21587 SEC.gov | Brien Santarlas sec gov brien https://www.sec.gov/rules-regulations/self-regulatory-organization-rulemaking/sr-phlx-2013-76 SEC.gov | Notice of Filing of Proposed Rule Change Relating to the Discontinuation of the... notice of filing sec gov proposed rule https://www.sec.gov/newsroom/press-releases/2022-80 SEC.gov | SEC Issues Nearly $3.5 Million Award to Four Whistleblowers sec gov 3 5 issues nearly https://www.sec.gov/about/reports-publications/aboutofficesoigreportsaudits2006413finalpdf SEC.gov | Continuity of Operations Planning continuity of operations sec gov planning https://www.sec.gov/file/exhibit-5-3289 SEC.gov | Exhibit 5 sec gov exhibit 5 https://www.sec.gov/enforcement-litigation/litigation-releases/lr-23560 SEC.gov | Kingdom Legacy General Partner, LLC and Mark C. Northrop sec gov kingdom legacy general partner https://www.sec.gov/newsroom/meetings-events/sunshine-act-notice-open-101823 SEC.gov | Sunshine Act Notice sec gov sunshine act notice https://www.sec.gov/rules-regulations/2008/03/american-family-life-insurance-co-et-al SEC.gov | American Family Life Insurance Co., et al. family life insurance sec gov american co et https://www.sec.gov/newsroom/whats-new/risk-alert-selecting-alternative-investments-managers SEC.gov | Investment Adviser Due Diligence Processes for Selecting Alternative Investments and... sec gov investment adviser due diligence https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/feinler-management-group SEC.gov | Public Alert: Feinler Management Group sec gov public alert feinler management https://www.sec.gov/newsroom/press-releases/2021-78 SEC.gov | SEC Charges Under Armour Inc. With Disclosure Failures under armour inc sec gov charges disclosure failures https://www.sec.gov/about/reports-publications/sec-conference-spending-2021 SEC.gov | SEC FY 2021 Conference Spending sec gov fy 2021 conference spending https://www.sec.gov/newsroom/videos/sec-community-habitat-humanity SEC.gov | SEC in the Community - Habitat For Humanity in the community sec gov habitat humanity https://www.sec.gov/rules-regulations/2011/12/wells-fargo-bank-na-et-al SEC.gov | Wells Fargo Bank, N.A., et al. wells fargo bank n a sec gov et al https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/costello-rubin-attorneys-law SEC.gov | Public Alert: Costello & Rubin Attorneys at Law sec gov public alert costello rubin https://www.sec.gov/enforcement-litigation/administrative-proceedings/ia-1964 SEC.gov | Jeffrey L. Grayson sec gov jeffrey l grayson https://www.sec.gov/divisions.shtml/office-chief-accountant SEC.gov | Office of the Chief Accountant Principal advisor to the Commission on matters pertaining to accounting, auditing, and controls-related standards, rules, and regulations for public financial... office of the chief sec gov accountant https://www.sec.gov/newsroom/press-releases/2018-80 SEC.gov | SEC Names Jessica Kane Director of Office of Credit Ratings sec gov jessica kane names director office https://www.sec.gov/newsroom/meetings-events/sunshine-act-notice-sbcfac-meeting-072225 SEC.gov | Sunshine Act Notice sec gov sunshine act notice https://www.sec.gov/newsroom/speeches-statements/peirce-roisman-coinschedule SEC.gov | In the Matter of Coinschedule In the Matter of Coinschedule Statement of Commissioner Hester M. Peirce and Commissioner Elad L. Roisman July 14, 2021 sec gov in the matter of https://www.sec.gov/rules-regulations/staff-guidance/division-investment-management-frequently-asked-questions/staff-responses-questions-about-custody-rule?_cldee=a21hcmtzQGFzY2VuZGFudGNvbXBsaWFuY2UuY29t&recipientid=contact-9c1b52b8861fe71180ebc4346bad526c-bd26d35ad9e940918615d977dee55648&esid=273994df-9468-ea11-a811-000d3a8c9bad. SEC.gov | Staff Responses to Questions About the Custody Rule sec gov about the staff responses questions https://www.sec.gov/rules-regulations/self-regulatory-organization-rulemaking/national-securities-exchanges?sro_organization=192811&page=2 SEC.gov | National Securities Exchanges - Current sec gov national securities exchanges current https://www.sec.gov/rules-regulations/2019/06/s7-07-18 SEC.gov | Regulation Best Interest: The Broker-Dealer Standard of Conduct sec gov best interest the broker regulation https://www.sec.gov/file/1095 SEC.gov | ic-32193.pdf sec gov ic pdf https://www.sec.gov/rules-regulations/2023/02/order-determining-whistleblower-award-claim-3 SEC.gov | Order Determining Whistleblower Award Claim sec gov whistleblower award order claim https://www.sec.gov/rules/sro/nyse/nyse200342.shtml SEC.gov | Comments on NYSE Rulemaking sec gov comments nyse rulemaking https://www.sec.gov/rules-regulations/2019/02/special-opportunities-fund-inc-bulldog-investors-llc SEC.gov | Special Opportunities Fund, Inc. and Bulldog Investors, LLC sec gov special opportunities fund inc bulldog https://www.sec.gov/rules-regulations/2009/11/pioneer-floating-rate-trust-pioneer-high-income-trust SEC.gov | Pioneer Floating Rate Trust and Pioneer High Income Trust sec gov pioneer floating rate trust high https://www.sec.gov/rule-release/ia-2059 SEC.gov | Proxy Voting By Investment Advisers sec gov proxy voting by investment advisers https://www.sec.gov/newsroom/press-releases/2017-22 SEC.gov | General Counsel Anne K. Small to Leave SEC SEC announces the departure of Anne Small sec gov general counsel anne k small https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-47487 SEC.gov | Peter Matus sec gov peter matus https://www.sec.gov/rules-regulations/2008/03/metlife-insurance-co-connecticut-et-al-0 SEC.gov | MetLife Insurance Co. of Connecticut, et al. metlife insurance co sec gov connecticut al https://www.sec.gov/marketstructure/datavis/hazard_survivor_etp_md.html SEC.gov | Market Structure Data Visualizations sec gov market structure data visualizations https://www.sec.gov/newsroom/meetings-events/sunshine-act-notice-closed-051123 SEC.gov | Sunshine Act Notice sec gov sunshine act notice https://www.sec.gov/file/judg05cv05171schmidt SEC.gov | Judgment sec gov judgment https://www.sec.gov/enforcement-litigation/litigation-releases/lr-23150 SEC.gov | J. Patrick O'Neill and Robert H. Bray j patrick o neill sec gov robert h bray https://www.sec.gov/about/divisions-offices/office-advocate-small-business-capital-formation/final-reports-sec-government-business-forum/additional-2017-forum-materials SEC.gov | Additional 2017 Forum Materials sec gov 2017 forum additional materials https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/intercontinental-financial-protection-commission SEC.gov | Public Alert: Intercontinental Financial Protection Commission sec gov financial protection public alert intercontinental https://www.sec.gov/newsroom/speeches-statements/gensler-2021-07-30 SEC.gov | Statement on Investor Protection Related to Recent Developments in China SEC Chair Gary Gensler Statement on Investor Protection Related to Recent Developments in China July 30, 2021 sec gov investor protection https://www.sec.gov/enforcement-litigation/whistleblower-program/notice-covered-actions/award-claim-2022-003 SEC.gov | SEC v. Gary F. Pryor, ZipRemit, Inc., and Lendaily, Inc. sec gov gary f pryor inc https://www.sec.gov/rules-regulations/2020/08/accredited-investor-definition SEC.gov | Accredited Investor Definition sec gov accredited investor definition https://www.sec.gov/resources-small-businesses/small-business-compliance-guides/accredited-investor-net-worth-standard SEC.gov | "Accredited Investor" Net Worth Standard sec gov accredited investor net worth standard https://www.sec.gov/rules-regulations/exchange-delistings/securities-exchange-act-1934-release-no-53084 SEC.gov | Securities Exchange Act of 1934 - Release No. 53084 securities exchange act 1934 release https://www.sec.gov/enforcement-litigation/whistleblower-program/notice-covered-actions/award-claim-2021-060 SEC.gov | SEC v. Kai Chritian Petersen; Gil Beserglik; and Raz Beserglik sec gov kai petersen gil raz https://www.sec.gov/enforcement-litigation/public-alerts-unregistered-soliciting-entities/regal-registrars SEC.gov | Public Alert: Regal Registrars sec gov public alert regal registrars https://www.sec.gov/newsroom/meetings-events/ifundwomen-virtual-coffee-break-040820 SEC.gov | iFundWomen Virtual Coffee Break sec gov virtual coffee break https://www.sec.gov/enforcement-litigation/administrative-proceedings/33-8112 SEC.gov | PNC Financial Services Group, Inc. pnc financial services group sec gov inc https://www.sec.gov/file/34-95033 SEC.gov | 34-95033.pdf sec gov 34 95033 pdf https://www.sec.gov/data-research/structured-data SEC.gov | Structured Data The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use. sec gov structured data https://www.sec.gov/enforcement-litigation/administrative-proceedings/34-96535-s SEC.gov | SEC Charges Exela Technologies, Former CFO for Reporting and Controls Failures sec gov exela technologies former cfo https://www.sec.gov/newsroom/meetings-events/open-meeeting-041423 SEC.gov | Open Meeting sec gov open meeting https://www.sec.gov/newsroom/meetings-events/american-cryptofed-dao-llc-hearing-120122 SEC.gov | Administrative Hearing in the Matter of the Registration Statement of American CryptoFed... sec gov administrative hearing the matter https://www.sec.gov/file/3-22250-2024-11-05-answer SEC.gov | Respondents' Answer to Order to Institute Administrative Proceedings sec gov to order respondents answer institute https://www.sec.gov/newsroom/press-releases/2014-171 SEC.gov | Chief Information Officer Thomas Bayer to Leave SEC SEC announces its Chief Information Officer Thomas Bayer will leave the agency in October. chief information officer sec gov thomas bayer leave https://www.sec.gov/newsroom/press-releases/2024-139 SEC.gov | SEC Charges Advisory Firm Inspire Investing With Misleading Investors Regarding Its... sec gov advisory firm inspire investing https://www.sec.gov/rules-regulations/2018/02/alcentra-capital-corporation-et-al SEC.gov | Alcentra Capital Corporation, et al. sec gov capital corporation et https://www.sec.gov/rules-regulations/2008/01/electronic-shareholder-forums SEC.gov | Electronic Shareholder Forums sec gov electronic shareholder forums https://www.sec.gov/rules-regulations/2017/11/order-extending-conditional-temporary-exemption-nationally-recognized-statistical-rating SEC.gov | Order Extending Conditional Temporary Exemption for Nationally Recognized Statistical... sec gov nationally recognized order extending conditional https://www.sec.gov/newsroom/press-releases/2026-43-sec-divisions-investment-management-corporation-finance-issue-staff-guidance-supporting-retirement SEC.gov | SEC Divisions of Investment Management and Corporation Finance Issue Staff Guidance... sec gov investment management https://www.sec.gov/newsroom/press-releases/2022-14 SEC.gov | Remediation Helps Tech Company Avoid Penalties sec gov tech company remediation helps avoid https://www.sec.gov/newsroom/press-releases/2018-40 SEC.gov | Former Equifax Executive Charged With Insider Trading sec gov former equifax executive charged https://www.sec.gov/newsroom/speeches-statements/clayton-iac-2020-09-24 SEC.gov | Remarks at the Meeting of the Investor Advisory Committee Remarks at the Meeting of the Investor Advisory Committee Chairman Jay Clayton September 24, 2020 sec gov the meeting remarks investor advisory https://www.sec.gov/rules-regulations/2020/11/oaktree-strategic-income-ii-inc-et-al SEC.gov | Oaktree Strategic Income II, Inc., et al. sec gov strategic income oaktree ii et https://www.sec.gov/rules-regulations/2019/04/roundhill-financial-llc-listed-funds-trust SEC.gov | Roundhill Financial LLC and Listed Funds Trust sec gov listed funds roundhill financial llc https://www.sec.gov/file/34-87219 SEC.gov | 34-87219.pdf sec gov 34 pdf https://www.sec.gov/enforcement-litigation/litigation-releases/lr-21615 SEC.gov | David P. Turner and Ousama M. Naaman sec gov david p turner naaman https://www.sec.gov/rules-regulations/2021/06/order-determining-whistleblower-award-claim-6 SEC.gov | Order Determining Whistleblower Award Claim sec gov whistleblower award order claim https://www.sec.gov/rules-regulations/2017/03/adoption-updated-edgar-filer-manual SEC.gov | Adoption of Updated EDGAR Filer Manual sec gov adoption updated edgar filer https://www.sec.gov/enforcement-litigation/litigation-releases/lr-17091 SEC.gov | Edward R. Voccola sec gov edward https://www.sec.gov/newsroom/meetings-events/2023-finra-annual-conference SEC.gov | 2023 FINRA Annual Conference sec gov 2023 finra annual conference https://www.sec.gov/enforcement-litigation/whistleblower-program/notice-covered-actions/award-claim-2018-063 SEC.gov | In the Matter of KBR, Inc. sec gov in the matter of kbr inc https://www.sec.gov/enforcement-litigation/litigation-releases/lr-21226 SEC.gov | George Wesley Harris and Giant Operating, LLC, Defendants, and Stephen Christopher... sec gov wesley harris https://www.sec.gov/file/exhibit-5-10335 SEC.gov | Exhibit 5 sec gov exhibit 5 https://www.sec.gov/rules-regulations/no-action-interpretive-exemptive-letters/division-corporation-finance-no-action/invesco-funds-120920 SEC.gov | Invesco Funds, December 9, 2020 sec gov december 9 invesco funds 2020 https://www.sec.gov/file/616 SEC.gov | ic-32307.pdf sec gov ic pdf https://www.sec.gov/rules-regulations/2014/01/registration-municipal-advisors-temporary-stay-final-rule SEC.gov | Registration of Municipal Advisors; Temporary Stay of Final Rule sec gov municipal advisors temporary stay registration final