Regulators Resources
Governments carefully regulate and monitor publicly-traded companies. The United States created the Securities and Exchange Commission (SEC) in 1934 to oversee the stock exchanges and enforce federal law relating to financial securities. Several other regulatory bodies, both inside and outside the U.S., perform similar functions. Familiarize yourself with the financial legislation and regulatory requirements relating to public companies before you go public.
U.S. Securities and Exchange Commission
- Codification of Staff Accounting Bulletins: Topic 1: Financial Statements
- Regulation S-K §229
- Form S-1
- Jumpstart our Business Startups Act
- Jumpstart our Business Startups Act Frequently Asked Questions
- Regulation S-X Rule 3-05
- Filing Deadlines
- Forms for Company Filings
Financial Industry Regulatory Authority
- FINRA Manual Rule 5121: Public Offerings of Securities With Conflicts of Interest
- 2003 Global Settlement
Financial Accounting Standards Board
Internal Revenue Service
