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Investor Publications


 
 

Researchers and Librarians-Easy Access to Selected Securities and Investor Information at the SEC

Office of Investor Education and Advocacy

Current Issues at the SEC

Enron, Hedge Funds, Sarbanes-Oxley, and more
http://www.sec.gov/spotlight.shtml

Official Documents and Reports

Releases

Press Releases
http://www.sec.gov/news/press.shtml

Rulemaking
http://www.sec.gov/rules.shtml

No Action Letters, Staff Accounting Bulletins, Staff Legal Bulletins
http://www.sec.gov/interps.shtml

Reports

Special Studies
http://www.sec.gov/news/studies.shtml

Annual Report of the SEC
http://www.sec.gov/about/annrep.shtml

Litigation, Decisions, Opinions, Enforcement Cases

Enforcement actions, opinions, briefs, trading suspensions, investors claims funds
http://www.sec.gov/litigation.shtml

Annual compilation of enforcement cases by category in the appendix of the SEC Annual Report
http://www.sec.gov/about/annrep.shtml

Accountants and Auditors

Information on the SEC's website for accountants and auditors
http://www.sec.gov/about/offices/oca.htm

Laws, Rules, Regulations

Rules and regulations are generally at volume 17 of the Code of Federal Regulations (17 CFR)
http://www.access.gpo.gov/nara/cfr/cfr-table-search.html

Federal securities laws
http://www.sec.gov/about/laws.shtml

Agency Rulemaking and Release Identification

Rulemaking Releases

  • The agency may begin the rulemaking process by issuing a concept release.
     
  • The agency may skip this process and instead issue a proposed rule.
     
  • Concept releases and proposed rules are put out for notice and comment.
     
  • After the notice and comment period on a proposed rule, the agency generally issues a final rule.
     
  • Rules and releases appear in the Federal Register

Release Identification

Under the securities laws, the Commission can bring enforcement actions either in the federal courts or internally through an administrative proceeding. For federal court cases, the agency issues a "litigation release" to announce the filing and resolution of each lawsuit. Litigation releases always begin with the letters "LR" (for example, LR-12345). For administrative proceedings, there are four general types of releases:

  • Press releases are numbered beginning with the year followed by a sequential number: 2004-1, 2004-2 …
     
  • Rule releases have a 2-character prefix that tells which law the rule primarily involves:
    • 1933 Act: 33-12345
    • 1934 Act: 34-12345
    • 1935 Act: 35-45678
    • 1939 Act: 39-23456
    • 1940 Investment Company Act: IC-12345
    • 1940 Investment Advisers Act: IA-12345
    • There maybe several act numbers assigned to a single release
  • A notice of institution and/or settlement of administrative proceedings, which will have a sequential number containing 2-digit prefix that tells you which securities law the defendant allegedly violated (e.g., IA-1234, 34-1234);
     
  • An initial decision by an administrative law judge (ALJ) in a contested case, which will have a sequential number (e.g., Initial Decision No. 1234 or ID-1234);
     
  • A notice that an ALJ's initial decision has become final, which will have a new and different sequential number containing the 2-digit prefix (e.g., IA-5678, 34-5678); and
     
  • A Commission order or opinion on appeal from an ALJ's initial decision, which will have another new and different sequential number with the 2-digit prefix (e.g., IA-91011, 34-91011).

Finding Company Information

EDGAR (SEC's Online Database of Company Reports)
http://www.sec.gov/edgar.shtml

How to Use EDGAR
http://www.sec.gov/edgar/quickedgar.htm

Corporate Reports, How to Get
http://www.sec.gov/answers/companyinfo.htm

Info About Some Companies Not Available at SEC
http://www.sec.gov/answers/noinfo.htm

Investor Information by Topic

http://www.sec.gov/investor.shtml

Investor Education Publications
http://www.sec.gov/investor/pubs_subject.shtml

Calculators for Investors
http://www.sec.gov/investor/tools.shtml

Check Out Your Broker
http://www.sec.gov/investor/brokers.htm

Pathfinders/Annotated Guides

Beginners' Guide to Investing
http://www.sec.gov/investor/pubs/begininvest.htm

Beginners' Guide to Mutual Funds
http://www.sec.gov/investor/pubs/beginmutual.htm

Guide to Identifying and Avoiding Securities Fraud
http://www.sec.gov/investor/pubs/identavoidfraud.htm

How to File a Complaint with the SEC

SEC Center for Complaints and Enforcement Tips
http://www.sec.gov/complaint.shtml

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Questions and Comments

 

 

 

We have provided this information as a service to investors.  It is neither a legal interpretation nor a statement of SEC policy.  If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law.

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Modified: Jan. 19, 2012