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  2. Commonwealth of Australia (US securities entity) - Wikipedia

    en.wikipedia.org/wiki/Commonwealth_of_Australia...

    The Commonwealth of Australia is a Form 18 United States SEC registered entity [1] representing the nation of Australia for the purpose of issuing securities in the US market. . Form 18 registrations are used only for foreign government registrations with the SEC and do not create a corpora

  3. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

  4. Electronic Data Gathering, Analysis, and Retrieval - Wikipedia

    en.wikipedia.org/wiki/Electronic_Data_Gathering...

    EDGAR (Electronic Data Gathering, Analysis, and Retrieval) is an internal database system operated by the U.S. Securities and Exchange Commission (SEC) that performs automated collection, validation, indexing, and accepted forwarding of submissions by companies and others who are required by law to file forms with the SEC. The database contains ...

  5. U.S. Securities and Exchange Commission - Wikipedia

    en.wikipedia.org/wiki/U.S._Securities_and...

    After the Pecora Commission hearings on abuses and frauds in securities markets, Congress passed the Securities Act of 1933 (15 U.S.C. § 77a), which federally regulates original issues of securities across state lines, primarily by requiring that issuing companies register distributions prior to sale so that investors may access basic ...

  6. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    Securities and Exchange Commission (SEC) logo. The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC).

  7. Regulation D (SEC) - Wikipedia

    en.wikipedia.org/wiki/Regulation_D_(SEC)

    In Rules 504 and 505, Regulation D implements §3(b) of the Securities Act of 1933 (also referred to as the '33 Act), which allows the SEC to exempt issuances of under $5,000,000 from registration. It also provides (in Rule 506) a "safe harbor" under §4(a)(2) of the '33 Act (which says that non-public offerings are exempt from the registration ...

  8. Form S-3 - Wikipedia

    en.wikipedia.org/wiki/Form_S-3

    Form S-3 is the most simplified securities registration form used by the U.S. Securities and Exchange Commission.It may only be used by companies that have been required to report under the Securities Exchange Act of 1934 for a minimum of twelve months and have also timely filed all required reports (including annual forms 10-K, quarterly forms 10-Q and certain current forms 8-K) under the ...

  9. Form D - Wikipedia

    en.wikipedia.org/wiki/Form_D

    Form D is a SEC filing form to file a notice of an exempt offering of securities under Regulation D of the U.S. Securities and Exchange Commission.Commission rules require the notice to be filed by companies and funds that have sold securities without registration under the Securities Act of 1933 in an offering based on a claim of exemption under Rule 504 or 506 of Regulation D or Section 4(6 ...