Apr 23, 2025
Forms 144 from the last 90 days filed in paper are available for public review on Wednesdays from 10am-3:30pm. Visitors are requested to contact Libray@sec.gov before they come in to ensure that the materials they are looking for are available. All other …
Nov 30, 2023
… send us your complaint using our online complaint form at https://www.sec.gov/oiea/Complaint.html . You can also reach …
Apr 13, 2023
Rule 504 of Regulation D provides an exemption from the registration requirements of the federal securities laws for some companies when they offer and sell up to $10,000,000 of their securities in any 12-month period. Except in limited circumstances, …
Dec 29, 2022
… for company information on the websites of DBOT ATS (https://dbottrading.com), Global OTC ATS ( https://www.globalotc.com ), and OTC Link ATS ( …
May 26, 2022
A blank check company is a development stage company that has no specific business plan or purpose or has indicated its business plan is to engage in a merger or acquisition with an unidentified company or companies, other entity, or person. These …
May 4, 2022
One of the best ways to build wealth is by saving and investing over a long period of time. The earlier you start, the easier it is for your money to grow. Opening your first investment account is a key step in beginning your investment journey. As a …
Jun 22, 2021
Under the federal securities laws, any offer or sale of a security must either be registered with the SEC or meet an exemption. Regulation D under the Securities Act provides a number of exemptions from the registration requirements, allowing some …
Jun 10, 2021
… Whether you are employed by a brokerage firm Annual income Net Worth Investment objectives and risk tolerance Other … FDIC deposit insurance, please visit the FDIC’s website at https://www.fdic.gov/resources/deposit-insurance/ . …
Apr 28, 2021
… Market Access system known as “EMMA” and available at https://emma.msrb.org . EMMA is the designated centralized …
Apr 28, 2021
What are municipal bonds? Municipal bonds (or “munis” for short) are debt securities issued by states, cities, counties and other governmental entities to fund day-to-day obligations and to finance capital projects such as building schools, highways or …