United States Securities and Exchange Commission

• SEC Filings (21)

  • Form 10-k
  • Form 10-q
  • Form 20-F
  • Form 8-K
  • Form 10-12B
  • Form 10-12B
  • Form 10-K405
  • Form 13F
  • Form 3
  • Form 4
  • Form 5
  • Form 6K
  • Form F-4
  • Form F-6
  • Form N-1A
  • Form S-1
  • Form S-3
  • Form S-4
  • SEC filing
  • Schedule 13d
  • Schedule 13g
  • Schedule TO
  • more...

• Members of the United States Securities and Exchange Commission

  • Edward C. Eicher
  • Arthur Levitt
  • Christopher Cox

• Financial regulation in the United States (50)

  • Commodity Futures Trading Commission
  • Investment Company Act of 1940
  • NASD
  • Private Securities Litigation Reform Act of 1995
  • Securities act of 1933
  • Securities act of 1933
  • Bank Secrecy Act
  • Bank holding company
  • Bank regulation in the United States
  • Central liquidity facility
  • Committee on Capital Markets Regulation
  • Corporate Fraud Task Force
  • Covered security
  • Electronic Municipal Market Access
  • Employee Retirement Income Security Act
  • Federal Deposit Insurance Corporation
  • Federal Financial Institutions Examination Council
  • Federal Savings and Loan Insurance Corporation
  • FinReg21
  • Financial Crimes Enforcement Network
  • Form 144
  • Government Auditing Standards (Yellow Book)
  • Gramm–Leach–Bliley Act
  • Know your customer
  • List of United States Supreme Court cases on commodity and futures regulation
  • Mark C. Brickell
  • Municipal Securities Rulemaking Board
  • NCUA Corporate Stabilization Program
  • National Credit Union Administration
  • National Credit Union Share Insurance Fund
  • National Futures Association
  • Nationally Recognized Statistical Rating Organization
  • Net capital rule
  • Office of Thrift Supervision
  • Pension law (US)
  • Prudent man rule
  • Resolution Trust Corporation
  • Rule 144A
  • Securities Investor Protection Corporation
  • Securities regulation in the United States
  • Security and Freedom Through Encryption Act
  • Supervisory Capital Assessment Program
  • Thrift Financial Report
  • Trust Indenture Act of 1939
  • Uniform Prudent Investor Act
  • United States commodity and futures case law
  • United States federal banking legislation
  • United States federal financial legislation
  • United States securities law
  • Uptick rule
  • Williams Act
  • more...

• Independent agencies of the United States government

  • Federal Retirement Thrift Investment Board
  • Commodity Futures Trading Commission

• United States Securities and Exchange Commission (18)

  • Rule 10b-5
  • Securities Exchange Act of 1934
  • Securities and Exchange Commission
  • EDGAR
  • Fair Fund
  • Fair Fund
  • Registry department
  • Regulation AB
  • Regulation D
  • Regulation Fair Disclosure
  • Regulation NMS
  • Rule 13D
  • Rule 144A
  • SEC Filings
  • SEC Rule 10b5-1
  • Securities act of 1933
  • Securities and Exchange Commission appointees
  • United States Securities and Exchange Commission personnel
  • Wells notice
  • more...

• United States federal securities legislation (10)

  • Investment Advisers Act of 1940
  • Sarbanes-Oxley Act of 2002
  • Foreign Corrupt Practices Act
  • Investment Company Act of 1940
  • Johnson Act
  • Johnson Act
  • Public Utility Holding Company Act of 1935
  • Securities Exchange Act of 1934
  • Securities Investor Protection Act
  • Securities act of 1933
  • Trust Indenture Act of 1939
  • more...

• United States securities law (33)

  • NASAA
  • Big Boy Letter
  • Blue sky law
  • Commodity Exchange Act
  • General Securities Principal Exam
  • General Securities Principal Exam
  • General Securities Representative Exam
  • Investment Banking Exam
  • Investment Company Act of 1940
  • Investment Company Products/Variable Life Contracts Representative Exam
  • List of securities examinations
  • NASD
  • Private Securities Litigation Reform Act of 1995
  • Public Utility Holding Company Act of 1935
  • Registered Representative
  • Rule 10b-5
  • Rule 144A
  • SEC Rule 10b5-1
  • Sarbanes-Oxley Act of 2002
  • Scienter
  • Securities Exchange Act of 1934
  • Securities Litigation Uniform Standards Act
  • Securities act of 1933
  • Securities regulation in the United States
  • Strike suit
  • Taylor v. Standard Gas Co.
  • Trust Indenture Act of 1939
  • Uniform Combined State Law Exam
  • Uniform Gifts to Minors Act
  • Uniform Investment Adviser Law Exam
  • Uniform Securities Act
  • Uniform Securities Agent State Law Exam
  • United States federal securities legislation
  • United States securities case law
  • more...

• United States federal financial legislation (26)

  • Anti-Gold Futures Act of 1864
  • Bankruptcy Abuse Prevention and Consumer Protection Act
  • Bankruptcy Act of 1898
  • Bankruptcy Reform Act of 1978
  • Commodity Exchange Act
  • Commodity Exchange Act
  • Commodity Futures Modernization Act of 2000
  • Economic Growth and Regulatory Paperwork Reduction Act
  • Foreign Investment and National Security Act of 2007
  • Fraud Enforcement and Recovery Act of 2009
  • Future Trading Act
  • Grain Futures Act
  • Gramm–Leach–Bliley Act
  • Investment Advisers Act of 1940
  • Investment Company Act of 1940
  • Net capital rule
  • Private Securities Litigation Reform Act of 1995
  • Public Law 110-343
  • Rule 144A
  • Sarbanes-Oxley Act of 2002
  • Securities Exchange Act of 1934
  • Securities Litigation Uniform Standards Act
  • Securities act of 1933
  • Trust Indenture Act of 1939
  • United States federal banking legislation
  • United States federal commodity and futures legislation
  • United States federal securities legislation
  • more...

• Financial markets

  • Securities regulation
  • Securities
  • Issuer
  • Broker-dealer
  • Transfer agent
  • Commodity Futures Trading Commission

• Stock market (9)

  • Equity securities
  • Securities exchange
  • Insider trading
  • Beneficial ownership
  • Prospectus (finance)
  • Prospectus (finance)
  • Stockholders
  • Stock based compensation
  • Proxy statement
  • Securities
  • more...

• Securities

  • Securities fraud
  • Shelf registration
  • Notes payable
  • Equity securities
  • Beneficial ownership
  • Prospectus (finance)

• Financial regulation

  • Self Regulatory Organization
  • Cusip
  • International Financial Reporting Standards
  • NASAA

• Legal terms (8)

  • Material adverse effect
  • Enjoining
  • Attorney in fact
  • Cease and desist
  • Alleges
  • Alleges
  • Defendants
  • Complaint
  • Issuer
  • more...

• Financial regulation in Canada

  • Canadian Securities Administrators
  • Canadian securities
  • Ontario Securities Commission
  • British Columbia Securities Commission
  • Canadian Public Accountability Board
  • Financial Transactions and Reports Analysis Centre of Canada

• Finance

  • Consolidated financial statements
  • ACCEL/Exchange
  • Par value
  • Transfer agent

• See also (20)

  • 15 U.S.C.
  • Securities Commission
  • Investment adviser
  • Countries
  • Government agencies
  • Government agencies
  • Organizations
  • Places
  • Disgorgement
  • Sicilian Mafia Commission
  • Financial statements
  • Common stock
  • Southern district of new york
  • Special Forces Assessment and Selection
  • United States District Judge
  • Jackie Chan Adventures
  • National Commission on Libraries and Information Science
  • Comprehensive income
  • Derivative security
  • Arms length
  • Aiding and abetting
  • more...

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