Securities and Exchange Commission (SEC)

RECENT NEWS
Benzinga  Oct 8  Comment 
Monroe Capital Corporation (the "Company") (Nasdaq: MRCC), announced today that the Company and its wholly-owned subsidiary, Monroe Capital Corporation SBIC, LP ("MRCC SBIC"), received an exemptive order from the Securities and Exchange Commission...
The Economic Times  Sep 17  Comment 
Nicolas Niquet, Latour's chief operating officer when the violations began, agreed to pay a $150,000 penalty, the regulator said.
Mondo Visione  Aug 30  Comment 
The California Public Employees' Retirement System (CalPERS) issued the following statement on the Securities and Exchange Commission's approval of two rules relating to the implementation of the Dodd-Frank Act: "CalPERS thanks the...
TechCrunch  Aug 15  Comment 
 IT DevOps monitoring company ScriptRock has recently received 8.7 maillion in venture funding, according to an SEC filing. As part of the deal, it appears that Australian VC Hamish Hawthorne is listed as a director, which usually indicates that...
Cloud Computing  Aug 5  Comment 
NEW YORK , Aug. 5, 2014 /PRNewswire/ -- Vintage, the capital markets and corporate solutions division of PR Newswire, today announced they have upgraded their XBRL (eXtensible Business Reporting Language) program, fleXBRL, with two new features,...
The Economic Times  Jul 2  Comment 
"I'm grateful that the SEC took the time to consider all the facts and drop the investigation," Matthew Korenberg, the former Goldman banker, said.
The Economic Times  Jun 30  Comment 
While passing the consent order, Sebi said it has disposed of adjudication proceedings against the company and this order will come into force immediately.
SeekingAlpha  Jun 25  Comment 
By Light Of Day: I have written a few articles so far describing issues with Torchlight's assets, valuation, management team track record, and liquidity situation, all of which imply Torchlight may trade down by 75-100%. However, in the midst of...
Clusterstock  Jun 23  Comment 
Last week, American Apparel announced plans to part ways with founder and CEO Dov Charney. Now, Charney has fired back in a new document filed with the Securities And Exchange Commission.  In the so-called 13-D filing, Charney...
The Economic Times  Jun 19  Comment 
The board decided that all companies with a post-issue capital above Rs 4,000 crore are compulsorily required to offer at least 10 per cent stake in the IPO.




 
TOP CONTRIBUTORS

The Securities and Exchange Commission (SEC) is a governmental body that regulates the public capital markets. Its stated mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

It was created in the aftermath of the stock market crash of 1929 which led to the passing of The Securities Act of 1933 and The Securities Exchange Act of 1934, legislation that created the SEC.

The Securities and Exchange Commission has five Commissioners who are appointed by the President of the United States with the advice and consent of the Senate. Their terms last five years and are staggered so that one Commissioner's term ends on June 5 of each year. To ensure that the Commission remains non-partisan, no more than three Commissioners may belong to the same political party. The President also designates one of the Commissioners as Chairman, the SEC's top executive.

Current SEC Commissioners:

Mary L. Shapiro - Chairman since 2009 Kathleen L. Casey - Commissioner since 2006 Elisse B. Walter - Commissioner since 2008 Luis A. Aguilar - Commissioner since 2008 Troy A. Paredes - Commissioner since 2008

SEC Headquarters: 100 F Street, NE Washington, DC 20549 (202) 942-8088 e-mail: help@sec.gov

New York Regional Office Mark Schonfeld, Regional Director 3 World Financial Center, Suite 400 New York, NY 10281-1022 (212) 336-1100 e-mail: newyork@sec.gov State jurisdiction: New York, New Jersey

Boston Regional Office David Bergers, Regional Director 33 Arch Street, 23rd Floor Boston, MA 02110-1424 (617) 573-8900 e-mail: boston@sec.gov State jurisdiction: Connecticut, Maine, Massachusetts, New Hampshire, Vermont, Rhode Island

Philadelphia Regional Office Daniel M. Hawke, Regional Director The Mellon Independence Center 701 Market Street Philadelphia, PA 19106-1532 (215) 597-3100 e-mail: philadelphia@sec.gov State jurisdiction: Delaware, Maryland, Pennsylvania, Virginia, West Virginia, District of Columbia

Miami Regional Office David Nelson, Regional Director 801 Brickell Ave., Suite 1800 Miami, FL 33131 (305) 982-6300 e-mail: miami@sec.gov State jurisdiction: Florida, Mississippi, Louisiana, US Virgin Islands, Puerto Rico

Atlanta Regional Office Katherine Addleman, Regional Director 3475 Lenox Road, N.E., Suite 1000 Atlanta, GA 30326-1232 (404) 842-7600 e-mail: atlanta@sec.gov State jurisdiction: Georgia, North Carolina, South Carolina, Tennessee, Alabama

Chicago Regional Office Merri Jo Gillette, Regional Director 175 W. Jackson Boulevard Suite 900 Chicago, IL 60604 (312) 353-7390 e-mail: chicago@sec.gov State jurisdiction: Illinois, Indiana, Iowa, Kentucky, Michigan, Minnesota, Missouri, Ohio, Wisconsin

Denver Regional Office Donald Hoerl, Regional Director 1801 California Street, Suite 1500 Denver, CO 80202-2656 (303) 844-1000 e-mail: denver@sec.gov State jurisdiction: Colorado, Kansas, Nebraska, New Mexico, North Dakota, South Dakota, Wyoming

Fort Worth Regional Office Rose L. Romero, Regional Director Burnett Plaza, Suite 1900 801 Cherry Street, Unit 18 Fort Worth, TX 76102 (817) 978-3821 e-mail: dfw@sec.gov State jurisdiction: Texas, Oklahoma, Arkansas, Kansas

Salt Lake Regional Office Kenneth D. Israel, Jr., Regional Director 15 W. South Temple Street Suite 1800 Salt Lake City, UT 84101 (801) 524-5796 e-mail: saltlake@sec.gov State jurisdiction: Utah

Los Angeles Regional Office Rosalind Tyson, Regional Director 5670 Wilshire Boulevard, 11th Floor Los Angeles, CA 90036-3648 (323) 965-3998 e-mail: losangeles@sec.gov State jurisdiction: Arizona, Hawaii, Guam, Nevada, Southern California (zip codes 93599 and below, except for 93200-93299)

San Francisco Regional Office Marc J. Fagel, Regional Director 44 Montgomery Street, Suite 2600 San Francisco, CA 94104 (415) 705-2500 e-mail: sanfrancisco@sec.gov State jurisdiction: Washington, Oregon, Alaska, Montana, Idaho, Northern California (zip codes 93600 and up plus 93200-93299)

SEC Divisions:

Corporation Finance - Ensures investors are provided with all pertinent information in order to make investments decisions.


Enforcement - Investigates any violations of securities laws.


Investment Management - Regulates investement companies.


Trading and Markets - Establishes standards for fair and efficient markets. Regulate market participants such as broker dealers, stock exhanges and transfer agents.


SEC Offices (19):

Office of Administrative Law Judges


Office of Administrative Services


Office of the Chief Accountant


Office of Compliance Inspections and Examinations


Office of Economic Analysis


Office of Equal Employment Opportunity (EEO)


Office of the Executive Director


Office of Financial Management


Office of the General Counsel


Office of Human Resources


Office of Information Technology


Office of Inspector General


Office of Interactive Disclosure


Office of International Affairs


Office of Investor Education and Advocacy


Office of Legislative and Intergovernmental Affairs


Office of Public Affairs


Office of Risk Assessment


Office of the Secretary


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