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The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC). Public companies , certain insiders, and broker-dealers are required to make regular SEC filings.
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.
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Obtaining a certificate is voluntary in some fields, but in others, certification from a government-accredited agency may be legally required to perform certain jobs or tasks. Organizations in the United States involved in setting standards for certification include the American National Standards Institute (ANSI) and the Institute for ...
From January 2008 to December 2012, if you bought shares in companies when H. Lee Scott, Jr. joined the board, and sold them when he left, you would have a 37.7 percent return on your investment, compared to a -2.8 percent return from the S&P 500.
From September 2011 to December 2012, if you bought shares in companies when Laura Conigliaro joined the board, and sold them when she left, you would have a -29.3 percent return on your investment, compared to a 20.3 percent return from the S&P 500.
Luis Alberto Aguilar (born November 21, 1953) is an American lawyer and former U.S. government official. [4]He was the Democratic commissioner of the U.S. Securities and Exchange Commission (SEC) from July 31, 2008, until December 2015 (after his term expired).
Gary S. Gensler (born October 18, 1957) is an American government official and former investment banker serving as the chair of the U.S. Securities and Exchange Commission (SEC). [1] Gensler previously worked for Goldman Sachs and has led the Biden–Harris transition's Federal Reserve, Banking, and Securities Regulators agency review team. [2]