News and Events from the Fort Worth Regional Office

The Fort Worth Regional Office posts news and events happening in its jurisdiction. You may sign up to receive email updates.

Date Title
Semiannual Management Report (November 2023)
2023 Agency Financial Report
Women's Financial Literacy Podcast
Asset Management Advisory Committee (AMAC)
Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
2023 Small Business Forum Report
SEC Enhances Rule to Prevent Misleading or Deceptive Fund Names
Sunshine Act Notice
Small Business Capital Formation Advisory Committee Meeting ("SBCFAC") Sunshine Act Notice
Registration statement under Securities Act of 1933
SEC Compliance Outreach Program
SEC Compliance Outreach Program
SEC Compliance Outreach Program
Uniform request for broker-dealer withdrawal
Mission
Policy Statement: Automated Systems of Self-Regulatory Organizations (II)
Policy Statement: Automated Systems of Self-Regulatory Organizations
Notice of Filing of Proposed Rule and Amendment No. 1 Amending Bylaws
Policy Statement: Regulatory Moratorium to Facilitate the Year 2000 Conversion
Policy Statement: The Establishment and Improvement of Standards Related to Auditor Independence
33-8355 Order
Appendix
Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market
Report Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding the NASD and the NASDAQ Market
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Concerning the Conduct of Certain Former Officers and Directors of W. R. Grace & Co.
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Motorola, Inc.
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 (“Exchange Act”) Regarding The Nasdaq Stock Market, Inc. (“Nasdaq”), as Overseen By Its Parent, The National Association of Securities Dealers, Inc. (“NASD”)
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on potential Exchange Act Section 10(b) and Section 14(a) liability
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The Retirement Systems of Alabama
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: JP Morgan Securities, Inc.
Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: Moody's Investors Service, Inc.
Report of Investigation in the Matter of the City of Harrisburg, Pennsylvania Concerning the Potential Liability of Public Officials with Regard to Disclosure Obligations in the Secondary Market
SEC Recognizes Caribbean American Heritage Month
Investor Advisory Committee 2025 and 2026 Meeting Schedule
Annual Report of Proxy Voting Record of Registered Management Investment Company
Sunshine Act Notice
Semiannual Management Report (May 2023)
Small Business Capital Formation Advisory Committee Meeting ("SBCFAC") Sunshine Act Notice
Shortening the Securities Transaction Settlement Cycle
Chair Gensler Marks 2nd Year at SEC
National Financial Capability Month
Fiscal Year 2024 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2022 Annual Performance Report
Q&A with SEC Women’s Committee Co-Chair Leah Clague
Investment Advisers Act Applications, Notices and Orders Archive: 2022
2023 Chief FOIA Officer Report
Securities Exchange Act of 1934 - Release No. 49336
Securities Exchange Act of 1934 - Release No. 50224
Securities Exchange Act of 1934 - Release No. 51001
Securities Exchange Act of 1934 - Release No. 51086
Securities Exchange Act of 1934 - Release No. 51210
Securities Exchange Act of 1934 - Release No. 51211
Securities Exchange Act of 1934 - Release No. 51212
Securities Exchange Act of 1934 - Release No. 51232
Securities Exchange Act of 1934 - Release No. 51301
Securities Exchange Act of 1934 - Release No. 51334
Securities Exchange Act of 1934 - Release No. 51342
Securities Exchange Act of 1934 - Release No. 51343
Securities Exchange Act of 1934 - Release No. 51344
Securities Exchange Act of 1934 - Release No. 51347
Securities Exchange Act of 1934 - Release No. 51348
Securities Exchange Act of 1934 - Release No. 51411
Securities Exchange Act of 1934 - Release No. 51431
Securities Exchange Act of 1934 - Release No. 51432
Securities Exchange Act of 1934 - Release No. 51450
Securities Exchange Act of 1934 - Release No. 51451
Securities Exchange Act of 1934 - Release No. 51452
Securities Exchange Act of 1934 - Release No. 51481
Securities Exchange Act of 1934 - Release No. 51482
Securities Exchange Act of 1934 - Release No. 51483
Securities Exchange Act of 1934 - Release No. 51484
Securities Exchange Act of 1934 - Release No. 51485
Securities Exchange Act of 1934 - Release No. 51496
Securities Exchange Act of 1934 - Release No. 51515
Securities Exchange Act of 1934 - Release No. 51513
Securities Exchange Act of 1934 - Release No. 51575
Securities Exchange Act of 1934 - Release No. 51602
Securities Exchange Act of 1934 - Release No. 51636
Securities Exchange Act of 1934 - Release No. 51638
Securities Exchange Act of 1934 - Release No. 51653
Securities Exchange Act of 1934 - Release No. 51654
Securities Exchange Act of 1934 - Release No. 51676
Securities Exchange Act of 1934 - Release No. 51677
Securities Exchange Act of 1934 - Release No. 51738
Securities Exchange Act of 1934 - Release No. 51739
Securities Exchange Act of 1934 - Release No. 51760
Securities Exchange Act of 1934 - Release No. 51782
Securities Exchange Act of 1934 - Release No. 51783
Securities Exchange Act of 1934 - Release No. 51784
Securities Exchange Act of 1934 - Release No. 51785
Securities Exchange Act of 1934 - Release No. 51831
Securities Exchange Act of 1934 - Release No. 51832
Securities Exchange Act of 1934 - Release No. 51833
Securities Exchange Act of 1934 - Release No. 51841
Securities Exchange Act of 1934 - Release No. 51842
Securities Exchange Act of 1934 - Release No. 51876
Securities Exchange Act of 1934 - Release No. 51877
Securities Exchange Act of 1934 - Release No. 51897
Securities Exchange Act of 1934 - Release No. 51903
Securities Exchange Act of 1934 - Release No. 51904
401 to 500 of 1561 items