Securities and Exchange Commission

United States federal authority. 1 rule on file with Snypir.

Rules it issues

Regulation S-P17 CFR 248.30 · binds brokers, dealers, investment companies, registered investment advisers, funding portals and transfer agents

What it costs to fail

SEC Civil Penalty Table17 CFR 201.1001 · penalties the SEC may impose, inflation adjusted

Terms its rules define or rely on

Covered institution17 CFR 248.30(d)
Transfer agent17 CFR 248.30(d)

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