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The views expressed in this podcast are, as applicable, those of the Chairman of the U S Securities and Exchange Commission or David Woodcock These views do not necessarily represent the views of the full Commission or SEC staff
- Careers at the Securities and Exchange Commission - SEC. gov
The U S Securities and Exchange Commission (SEC) is seeking the best and brightest talent to help strengthen our workforce to better serve as the investor's advocate Applicants must be U S Citizens Positions are located at the SEC’s Headquarters in Washington, DC and at our regional offices across the United States Interested in being notified of upcoming vacancies? Please see our SEC
- SEC. gov | Submit a Tip or Complaint
Submit a Tip or Complaint My Tip or Complaint Relates To: Possible securities law violations like fraud, Ponzi schemes, insider trading, market manipulation, or other wrongdoing A problem I'm having with my investment account or financial professional The SEC or self-regulatory organizations (SROs) such as stock exchanges or FINRA An SEC employee
- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-105108] Order . . .
I Introduction Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) authorizes the Securities and Exchange Commission (“Commission”), by rule, regulation, or order, to conditionally or unconditionally exempt any person, security, or transaction, or any class or classes of persons, securities, or transactions from any provision or provisions of the Exchange Act or any
- Denver Regional Office - SEC. gov
The Denver 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 The Denver office primarily conducts its enforcement or examination activities in Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Utah, and Wyoming
- SEC. gov | About
About 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; maintain fair, orderly, and efficient markets; and facilitate capital formation
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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
- SECURITIES AND EXCHANGE COMMISSION (Release No. 34-57850; File No. SR . . .
I Introduction On December 29, 2006, the Chicago Board Options Exchange, Incorporated (“CBOE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”)1 and Rule 19b-4 thereunder,2 a proposed rule change to list and trade binary options on broad-based security indexes The CBOE
- Rules and Regulations - SEC. gov
The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change takes effect A need for rulemaking can be identified internally by the Commission or its staff, or externally by Congress, regulatory organizations, or the public
- Los Angeles Regional Office - SEC. gov
Los Angeles Regional Office About The Los Angeles 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
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