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Frequently Asked Questions (FAQs)

From time to time, the staff at the SEC will release responses to “Frequently Asked Questions” concerning SEC laws and regulations. These FAQs do not have the authority of law, and they are not the same as statements made by the Commission. Instead, they are interpretations and guidance from the staff of the SEC. Further, the Commission has neither approved nor disapproved the statements in these FAQs. 

To make it easier for the public to find these various FAQs, we have grouped below by Division a collection of commonly requested staff FAQs.

Corporation Finance

Investment Management

Market Regulation

Office of Chief Accountant

The Office of Investor Education and Advocacy has provided this information as a service to investors. It is neither a legal interpretation nor a statement of SEC policy. If you have questions conce
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