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Bookmark or Share- SEC Charges Three Senior Executives in Two Actions Alleging Massive ...The FCPA investigation is being conducted by Eric Heining, Patrick Noone, and Paul Block of the SEC’s FCPA Unit. The litigation will be led by Boston Regional Office Trial Counsel Martin Healey. The SEC appreciates the assistance of the U.S. Attorney’s Office, the Fraud Section of the U.S. Department of Justice, and the FBI. ###
- Company Search - SEC.govThe SEC does not require companies that are raising less than $1 million under Rule 504 of Regulation D to be "registered" with the SEC, but these companies are required to file a Form D with the SEC. The Form D serves as a brief notice that provides information about the company and the offering.
- SEC.gov | Search FilingsA search engine to find Central Index Key numbers assigned by the SEC to corporate or individual filers. Public Dissemination Service (PDS) An option to subscribe to a privatized system to receive a dedicated feed of all public EDGAR filings.
- SEC.gov | Division of Corporation FinanceThe Division of Corporation Finance seeks to ensure that investors are provided with information needed to make informed investment and voting decisions, including when a company initially offers its securities to the public and on an ongoing basis.
- SEC.gov | HomeIn the event of a federal government shutdown due to a lapse in appropriations, the SEC’s operating status will change concurrently with the rest of the federal government, in accordance with the agency's plan for operating during a shutdown. As that plan contemplates, we are currently preparing for a potential shutdown, with a focus on the ...
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