Get The Investors Registry, Llc Et Al. - Sec

All companies, domestic and foreign, are required to file registration statements and other forms electronically. Investors can then access registration and other company filings using EDGAR. Not all offerings of securities must be registered with the SEC.

The SEC defines an accredited investor as either: an individual with gross income exceeding $200,000 in each of the two most recent years or joint income with a spouse or partner exceeding $300,000 for those years and a reasonable expectation of the same income level in the current year.

Under the federal securities laws, every offer and sale of securities, even if to just one person, must be either registered with the SEC or conducted under an exemption from registration.

Many companies that sell their securities to the public register those securities under the Securities Act of 1933. These companies must file with the SEC and give investors a prospectus describing the company, including audited financial statements, and important facts about the offering.

Key Takeaways. The Securities and Exchange Commission (SEC) is a U.S. government oversight agency responsible for regulating the securities markets and protecting investors.

Anyone working and operating in the securities industry must practice SEC compliance. This includes: Companies that are selling securities, as defined by the SEC. Officers, directors, and principal stockholders of publicly owned companies.

Among the most common SEC filings are: Form 10-K, Form 10-Q, Form 8-K, the proxy statement, Forms 3,4, and 5, Schedule 13, Form 114, and Foreign Investment Disclosures.

Private funds are not required to be registered or regulated as investment companies under the federal securities laws. A private fund cannot publicly offer its securities.