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
Small Business Capital Formation Advisory Committee Meeting ("SBCFAC") Sunshine Act Notice
Sunshine Act Notice
Current Report For Registered Management Investment Companies and Business Development Companies
Regulation A Offering Statement
EDGAR State and Country Codes
Sunshine Act Notice
Sunshine Act Notice
Sunshine Act Notice
Sunshine Act Notice
Asset Management Advisory Committee ("AMAC") Sunshine Act Notice - July 7, 2021
FAIR Inventory 2021
Semiannual Management Report (May 2021)
Fiscal Year 2022 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2020 Annual Performance Report
Protecting Older Americans from Financial Fraud Outreach Event
Benefits Overview
Pathways: Internship Program
Students and Recent Graduates Programs
Fellows and Intergovernmental Personnel Act (IPA) Program
Financial Readiness: Investing in Your Future
Chief FOIA Officer Report 2021
PRIDE in the Federal Workplace
General form for registration of securities pursuant to Section 12(b) or (g)
Annual Report on SEC Website Modernization Pursuant to Section 3(d) of the 21st Century Integrated Digital Experience Act.
2020 Small Business Forum Report
Semiannual Management Report (November 2020)
Selected SEC Accomplishments: May 2017 – December 2020
2020 Agency Financial Report
Annual Staff Report Relating to the Use of Form PF Data
FY 2016 Service Contract Inventory Analysis
FY 2016 Service Contract Inventory with Planned Analysis of FY 2017 Inventory
FY 2017 Service Contract Inventory Analysis
Planned Analysis of FY 2018 Inventory
Miami Regional Office Participates in Investor Education Events During Fourth Annual World Investor Week
FAIR Inventory 2020
Check Out This Atlanta Regional Office Virtual Event
Virtual Town Hall — Avoiding Financial Scams
eFAP (Electronic Filings in Administrative Proceedings)
Memorandum of Understanding
Accessibility and Disability Program
Protecting Deaf and Hearing Loss Communities from Investment Scams - Transcript
Semiannual Management Report (May 2020)
Customer Relationship Summary
Vulnerability Disclosure Policy
FREE: May 21 Telephone Town Hall on Avoiding Financial Fraud
Reasonable Accommodation Program
SEC Coronavirus (COVID-19) Response
Chief FOIA Officer Report 2020
Compliance Outreach Program National Seminar 2020
Event at Brookings - Five-Star Reviews, One-Star Profits: The Devaluation of Businesses in Black Communities
Fiscal Year 2021 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2019 Annual Performance Report
SEC Senior Outreach 2020
Annual Report on Existing SEC Websites and Digital Services Pursuant to Section 3 of the 21st Century Integrated Digital Experience Act
Semiannual Management Report (November 2019)
Annual Staff Report Relating to the Use of Form PF Data
2019 Small Business Forum Report
Fiscal Year 2019 Agency Financial Report
PLRO Veterans Day Resource Fair
SEC to Participate in Financial Literacy Activities in Puerto Rico
SEC to Participate at 24th Annual Government Day at The Villages, Florida
Investor Alert: Watch Out for Spoofed Websites Selling Phony CDs
Miami Regional Office Participates in Investor Education Activities During Third Annual World Investor Week
Agenda: Roundtable on Combating Elder Investor Fraud
Philadelphia Regional Office Hosts Chief Compliance Officer Outreach
FAIR Inventory 2019
FAIR Inventory 2018
SEC’s Philadelphia Office Hosts Successful Senior Outreach Event on Financial Fraud
SEC Data Resources
SEC Philly Office to Host Senior Outreach Event on Financial Fraud
Meeting of SEC Advisory Committee on Small and Emerging Companies
Initial statement of beneficial ownership of securities
SEC’S Miami Regional Office Supports Department of Justice Media Campaign to Prevent and Report Elder Abuse in Puerto Rico
Additional 2018 Forum Materials
OASB Foundational Business Plan
SEC's Miami Regional Office Supports National Financial Capability Month
Fiscal Year 2020 Congressional Budget Justification and Annual Performance Plan; Fiscal Year 2018 Annual Performance Report
Notification of late filing
NMS Stock Alternative Trading Systems
Monthly Portfolio Investments Report
Fiscal Year 2018 Agency Financial Report
2018-2022 Strategic Plan
Select SEC and Market Data 2017
Elite Pharmaceuticals, Inc. /DE/ (Exhibit 10.1 to 10-Q)
Bart Ethan Baum
How the Securities and Exchange Commission Fights Fraud, Protecting Retail Investors and Markets
Bluebird Bio, Inc. (Exhibit 10.14 to 10-Q)
GW Pharmaceuticals PLC (Exhibits 10.7 thru 10.10 to F-1)
Patterson-UTI Energy, Inc.
Trident VII DE Parallel Fund, LP
2017 Report and Certification of Internal Supervisory Controls
Semiannual Management Report (May 2018)
Genvec, Inc. (Exhibit 10.9 to 10-K)
Eric R. Werner Named Associate Regional Director for Enforcement in Fort Worth Office
SEC Levies Fraud Charges Against Texas-Based Municipal Advisor, Owner for Lying to School District
Poore Brothers, Inc. (Exhibit 102 to 10-Q)
Miami Regional Office Supports National Financial Capability Month
SEC Charges Texas Company, Principals in Multimillion Dollar Ponzi Scheme Targeting Seniors
Exelixis, Inc. (Exhibit 10.2 to 10-Q/A)
Oscient Pharmaceuticals Corp. (Exhibit 10.2 to 10-Q)
Investment Clubs and the SEC
SEC Charges Company and Executives in Oil-and-Gas Offering Fraud
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