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  2. Fair Fund - Wikipedia

    en.wikipedia.org/wiki/Fair_Fund

    Fair Funds were established by the Sarbanes–Oxley Act of 2002 (SOX), specifically 15 U.S.C. § 7246(a) (the "Fair Fund Provision"). [1]Prior to Sarbanes–Oxley, civil penalties obtained by the SEC based on actions under the securities laws were paid to the United States Treasury, and were not distributed by the SEC to investors who were injured by the securities fraud. [2]

  3. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    The most commonly filed SEC forms are the 10-K and the 10-Q. These forms are composed of four main sections: The business section, the F-pages, the Risk Factors, and the MD&A. The business section provides an overview of the Company. The F-pages contain the financial statements which are either audited or reviewed by an independent auditor.

  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...

    The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [8] To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures.

  6. Form S-1 - Wikipedia

    en.wikipedia.org/wiki/Form_S-1

    Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the "registration statement by the Securities Act of 1933". The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering.

  7. US appeals court voids SEC private equity, hedge fund ... - AOL

    www.aol.com/news/us-appeals-court-overturns-sec...

    (Reuters) -A U.S. appeals court threw out a Securities and Exchange Commission rule intended to give investors more transparency into private funds, handing a victory to the nearly $27 trillion ...

  8. SEC's Sankey: Federal NIL law needed for fair competition - AOL

    www.aol.com/news/sankey-federal-nil-law-needed...

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  9. Regulation S-X - Wikipedia

    en.wikipedia.org/wiki/Regulation_S-X

    Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...