New York Regional Office - SEC.gov
Jan 14, 2025 · The New York Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.
Regional Offices - SEC.gov
Securities Topics. Crypto Assets; Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers
Search Filings - SEC.gov
Jul 2, 2024 · View a listing of real-time filings as they are submitted into the EDGAR system. Also view daily filings by form type within the past week. Tutorials and resources to help users locate filings, conduct research, and retrieve specific information in EDGAR.
S.E.C. Sues Elon Musk Over Twitter-Related Securities Violations
Jan 14, 2025 · S.E.C. Lawsuit: U.S. securities regulators sued Musk in federal court in an enforcement action arising from his $44 billion purchase of Twitter, now called X. Advertisement SKIP ADVERTISEMENT
Securities and Exchange Commission (SEC) - USAGov
The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.
U.S. Securities and Exchange Commission - Wikipedia
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street crash of 1929. [2] [3] [4] Its primary purpose is to enforce laws against market manipulation.[5] [6]: 2 Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § …
Trump announces pick to replace federal prosecutor ... - New York …
Nov 14, 2024 · President-elect Donald Trump revealed plans Thursday to replace the prosecutor whose office is targeting NYC Mayor Eric Adams, announcing he will tap his former Securities and Exchange Commission...
Judith Weinstock - PLI
Judith A. Weinstock is an Assistant Regional Director for the New York Regional Office (NYRO) of the Securities and Exchange Commission in the Division of Enforcement. In that role, Judy supervises the investigation and litigation of Enforcement cases related to the Securities Act, the Exchange Act, and the Investment Advisers Act.
The NYSE Institute - The New York Stock Exchange
In 2022, we launched the NYSE Institute to better facilitate connections between NYSE-listed companies and elected officials, regulators, and policymakers. As part of our ongoing commitment to supporting our issuers, we now also offer issuer …
What Is the SEC? Understanding the U.S. Securities and Exchange Commission
Oct 28, 2024 · From investigating financial crimes to setting public company reporting requirements to educating investors, the Securities and Exchange Commission (SEC) covers a lot of ground in trying to make...