| Tips, Questions, And Complaints

How We Handle Your Concerns about the SEC, SROs, and Compliance with Securities Laws. Learn how the Ombudsman assists investors, facilitates communication, maintains confidentiality, and identifies options to help resolve concerns about the SEC, Self-Regulatory Organizations (SROs), and compliance with the securities laws.

Actived: Tuesday May 17, 2022


(53 years ago) | About EDGAR

What is EDGAR? EDGAR, the Electronic Data Gathering, Analysis, and Retrieval system, is the primary system for companies and others submitting documents under the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, and the Investment Company Act of 1940.

(53 years ago)

IAPD - Investment Adviser Public Disclosure - Homepage

For a complete compilation of Investment Adviser Firms currently registered with the SEC and states securities regulators, download the Investment Adviser Data.. You can search for an Investment Adviser firm on this website and view the registration or reporting form ("Form ADV") that the adviser filed. This website will also search FINRA's BrokerCheck system and indicate whether an entity is ...

(53 years ago) | EDGAR Full Text Search; EDGAR; FAQ; Other search tools; The new EDGAR advanced search gives you access to the full text of electronic filings since 2001.

(53 years ago)


Electronic messages, whether authorized or unauthorized, constitutes consent to the retrieval and disclosure of information stored within the system, including information stored locally on the hard drive or other media in use with this unit (e.g., floppy disks, personal digital assistants and other hand-held peripherals, and CD-ROMs).

(53 years ago) | About the SEC

The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public's trust.

(53 years ago)

EDGAR Entity Landing Page - SEC

This company's Exchange Act registration has been revoked This company's Exchange Act registration as a Municipal Advisor has been revoked

(53 years ago)

EDGAR Filer Management

Notice: Before you can electronically file with the SEC on EDGAR, you must become an EDGAR filer with authorized access codes. This website will allow you to create a Form ID and submit it for authorization to the SEC. Upon acceptance, you will receive a unique CIK via e-mail. You will then return to this site and use your CIK and a passphrase to create your EDGAR access codes.

(53 years ago) | Report Suspected Securities Fraud or Wrongdoing

Fraudulent or unregistered offer or sale of securities, including things like Ponzi schemes; Pyramid schemes ; High-Yield Investment Programs; Theft or misappropriation of funds or securities

(53 years ago) | Regulatory Actions

This page provides links to releases concerning SEC rulemaking activity, including concept releases, proposed rules, final rules, interpretive releases, and policy statements.

(53 years ago) | Developer Resources

Accessing EDGAR Data. The U.S. Securities and Exchange Commission's HTTPS file system allows comprehensive access to the SEC's EDGAR (Electronic Data Gathering, Analysis, and Retrieval system) filings by corporations, funds, and individuals.

(53 years ago) | Enforcement

This page provides information on SEC enforcement actions, opinions issued by the Commission, briefs filed by SEC staff, trading suspensions, and notices concerning the creation of investors claims funds in specific cases.

(53 years ago) | small business

Information for small businesses. A small business can raise capital in a number of different ways, including by selling securities. Under the federal securities laws, every offer and sale of securities, even if to just one person, must either be registered with the SEC or conducted under an exemption from registration.

(53 years ago) | Newsroom

The mission of the SEC is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. The SEC strives to promote a market environment that is worthy of the public’s trust and characterized by transparency and integrity.

(53 years ago) | Upcoming Events

SEC Meetings and Other Events. All SEC open meetings and many other public events are webcast. A hyperlink to the webcast will be posted to shortly before the start of a meeting.

(53 years ago) | Office of the Whistleblower

Final Orders of the Commission. The following orders set forth the final disposition of applications for awards received by the Office of the Whistleblower.

(53 years ago)

Inline XBRL Viewer

The Inline XBRL viewer allows a user to quickly and easily review details of the tagged information in an Inline document by automatically placing a top and bottom highlight border around each tagged numeric fact and left and right border for each block tagged fact.

(53 years ago)

Directory listing of full-index/ -

Skip to Main Content. About. What We Do; Commissioners; Securities Laws; Reports; Careers; Contact; Divisions

(53 years ago)

Mutual Fund Search -

Search for Mutual Funds. From this page you can search for current information on mutual funds. For closed-end funds and for filings prior to February 6, 2006, click here. Note: There may be a two hour delay from filing time of new fund names to viewing availability.

(53 years ago)

Proxy Statement - SEC

Proxy Statement. The SEC requires that shareholders of a company whose securities are registered under Section 12 of the Securities Exchange Act of 1934 receive a proxy statement prior to a shareholder meeting, whether an annual or special meeting.

(53 years ago)

Ownership Form Codes - SEC

General Transaction Codes P - Open market or private purchase of non-derivative or derivative security S - Open market or private sale of non-derivative or derivative security

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