Jan 6, 2026
By Lori Schock, former Director of the SEC’s Office of Investor Education and Assistance. This document is no longer being updated and may include information that is out-of-date. However, the content may be useful background information or provide …
Sep 23, 2025
… for company information on the websites of DBOT ATS (https://dbottrading.com), Global OTC ATS ( https://www.globalotc.com ), and OTC Link ATS ( …
Jul 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 Library@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, …
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 …