[ Enter Database → ]
[ENTITY FILE] SUBJECT-0391 GOVERNMENT AGENCY ACTIVE
SC
// Subject

Securities and Exchange Commission‍‍‍‌‍‌‍‌‍‍​‌‌‌‍‍‌​‌​​‍‌‍

Federal securities regulator that issued emergency orders
Tracked Federal securities regulator that issued emergency orders · 57 documented connections
Facts on record42
Connections mapped57
Sources cited37
View on Graph → Export CSV ← Entity Directory
Stated vs Revealed
No documented contradictions on file.
PATTERN company → [contractor] → government agency 19× PATTERN government agency → [contractor] → company 19× PATTERN government agency → [regulatory filing] → government agency 15× PATTERN company → [regulatory oversight] → government agency 13× PATTERN government agency → [regulatory oversight] → company 13×
Connection Map
Key Connections
← Entity #835
organizational_subdivision
Market Abuse Unit operates as a specialized enforcement division within the SEC
← Entity #2487
regulatory_filing
John Thune filed a filing with the SEC on 2003-11-06
← Entity #2760
regulatory_filing
Virgin Islands Economic Development Commission filed with the SEC on 2005-04-15
← Entity #282
regulatory filing
Executive Office for United States Attorneys filed filing with the SEC on 2005-08-31
← Entity #3285
regulatory filing
Information Technology Division filed a filing with the SEC on 2006-03-06
← Entity #611
regulatory filing
Government Accountability Office filed filing with the SEC on 2007-11-02
← Entity #644
regulatory filing
BIS filed filing with the SEC on 2008-11-19
← Entity #902
regulatory_filing
Tennessee Valley Authority filed a filing with the SEC on 2008-12-16
Facts (42)
Data Freshness
Fresh Last update: 19d ago · Avg age: 900d
Confidence Tiers: Primary Source — cross-referenced government/corporate filings Pending Review — sourced but not independently verified AI Inference — analytical hypothesis from cross-referencing
Raw Filing Records (41) — unsourced metadata
Pending Review Each EDGAR submission receives unique acce‍‍‍‌‍‌‍‌‍‍​‌‌‌‍‍‌​‌​​‍‌‍ssion number for identification in database
Added: 17 Apr 2026
Pending Review SEC EDGAR assigns unique accession numbers ‍‍‍‌‍‌‍‌‍‍​‌‌‌‍‍‌​‌​​‍‌‍to all properly processed filings since 1996
Date: 1996-01-01 Added: 17 Apr 2026
Pending Review SEC dismissed multiple crypto enforcement actions and clo‍‍‍‌‍‌‍‌‍‍​‌‌‌‍‍‌​‌​​‍‌‍sed investigations since January 2025 under new leadership
Date: 2025-01-20 Added: 16 Apr 2026
Pending Review SEC and CFTC announced they will meet regularly to coordinate on overlapping issues including prediction markets
Date: 2026-02-01 Added: 16 Apr 2026
Pending Review CFTC issued Prediction Markets Advisory Release 9185-26 on February 25, 2026, describing MNPI-based trading as insider trading under CEA Section 6(c)(1) and Rule 180.1
Date: 2026-02-25 Added: 16 Apr 2026
Pending Review Securities and Exchange Commission filed filing with the SEC on 2003-03-20. Accession number: N/A.
Date: 2003-03-20 Added: 15 Apr 2026
Pending Review SEC announced enforcement results for fiscal year 2025 totaling $17.9 billion in monetary relief
Date: 2026-04-01 Added: 14 Apr 2026
Pending Review FPDS database shows 22 contracts between Palantir Technologies Inc. and Securities and Exchange Commission
Added: 14 Apr 2026
Pending Review Foreign advisers seeking to qualify for the Private Fund Adviser Exemption are required to comply with certain SEC reporting and record keeping obligations, including a short Form ADV Exempt Reporting Adviser Part 1
Added: 09 Apr 2026
Pending Review The SEC and CFTC issued joint interpretive guidance on March 17, 2026 clarifying crypto asset classification under federal securities laws
Date: 2026-03-17 Added: 09 Apr 2026
Pending Review Over 17 million filings existed in EDGAR as of May 25, 2025
Date: 2025-05-25 Added: 09 Apr 2026
Pending Review EDGAR filing system was phased in from 1993-1996, with all public companies required to file electronically by May 6, 1996
Date: 1996-05-06 Added: 09 Apr 2026
Pending Review Companies were using authentic financial data in EDGAR test filings instead of dummy data, which was compromised
Date: 2016-01-01 Added: 09 Apr 2026
Pending Review EDGAR breach was discovered and addressed in October 2016, but SEC only learned of potential illicit trading use in August 2017
Date: 2016-10-01 Added: 09 Apr 2026
Pending Review SEC EDGAR system was breached in 2016 through software vulnerability in test filing component
Date: 2016-01-01 Added: 09 Apr 2026
Pending Review Private fund advisers with less than $150 million in assets under management are exempt from SEC registration but may be required to file reports
Added: 08 Apr 2026
Pending Review Venture capital fund advisers are exempt from SEC registration if they solely advise venture capital funds as defined by SEC rules
Added: 08 Apr 2026
Pending Review Investment advisers with assets under management between $25 million and $100 million are classified as mid-sized advisers subject to state regulation unless required to register in 15 or more states
Added: 08 Apr 2026
Pending Review The Dodd-Frank Act eliminated the private adviser exemption effective July 21, 2011, requiring larger private fund advisers to register with the SEC
Date: 2011-07-21 Added: 08 Apr 2026
Pending Review Form ADV Part 1 requires information about investment adviser business, ownership, clients, employees, business practices, affiliations, and disciplinary events
Added: 08 Apr 2026
Pending Review Investment advisers must file Form ADV with the SEC to register and provide annual updating amendments within 90 days of fiscal year end
Added: 08 Apr 2026
Pending Review Over 17 million filings stored in EDGAR database as of May 25, 2025
Date: 2025-05-25 Added: 08 Apr 2026
Pending Review EDGAR Next platform launched in 2024, requiring Login.gov authentication for all filers
Date: 2024-01-01 Added: 08 Apr 2026
Pending Review Foreign companies and foreign governments required to submit filings via EDGAR beginning November 4, 2002
Date: 2002-11-04 Added: 08 Apr 2026
Pending Review EDGAR database was hacked in September 2017, with companies' data potentially used for insider trading
Date: 2017-09-01 Added: 08 Apr 2026
Pending Review Filers must make affirmative request that SEC staff change submission to correct information, including any date adjustment, due to EDGAR or SEC staff error
Added: 08 Apr 2026
Pending Review SEC staff generally do not correct errors in EDGAR filings and will consider making deletions or adjustments for errors only in rare circumstances
Added: 08 Apr 2026
Pending Review SEC requires electronic filing of most forms through EDGAR system with specific procedures for corrections and amendments
Added: 08 Apr 2026
Pending Review Institutional investors contribute the vast majority of investment dollars in SPACs, with minimal participation by retail investors
Date: 2021-01-01 Added: 08 Apr 2026
Pending Review SPAC IPOs and de-SPAC transactions became increasingly popular in 2020 and 2021, leading to increased SEC scrutiny
Date: 2020-01-01 Added: 08 Apr 2026
Pending Review Institutional investment managers with at least $100 million or more in assets under management are required to file Form 13F within 45 days after each calendar quarter
Added: 08 Apr 2026
Pending Review Venture capital firms are required to file Form D disclosures with the SEC for private securities offerings
Added: 08 Apr 2026
Pending Review Over 324 SPACs from the 2021 cohort (more than 50%) were liquidated without completing acquisitions
Date: 2023-01-01 Added: 08 Apr 2026
Pending Review In 2021, there were 613 SPAC IPOs that raised $162.5 billion in total
Date: 2021-12-31 Added: 08 Apr 2026
Pending Review ERAs must file Form ADV updates at least once annually, within 90 days of fiscal year end
Added: 08 Apr 2026
Pending Review Most venture capital firms qualify as Exempt Reporting Advisers (ERAs) and have different Form ADV requirements than fully registered investment advisers
Added: 08 Apr 2026
Pending Review SEC requires investment advisers to file Form ADV annual amendments within 90 days of the end of their fiscal year
Added: 08 Apr 2026
Pending Review The emergency orders were amended on September 21, 2008, to delay public disclosure of Form SH filings by two weeks
Date: 2008-09-21 Added: 08 Apr 2026
Pending Review The SEC's emergency orders were initially set to expire October 2, 2008, but were extended to October 17, 2008
Date: 2008-10-17 Added: 08 Apr 2026
Pending Review Emergency Order 58591 required institutional investment managers to file Form SH reports on EDGAR beginning September 22, 2008
Date: 2008-09-22 Added: 08 Apr 2026
Pending Review The SEC issued three emergency orders on September 17-18, 2008, under Section 12(k)(2) of the Securities Exchange Act
Date: 2008-09-17 Added: 08 Apr 2026
All Connections (57)
→ Entity #9735
regulatory initiative confirmed
Joint SEC-CFTC initiative to coordinate crypto and prediction market oversight
→ Entity #11357
civil_defendant primary
The SEC filed a civil complaint against DiPascali on August 11, 2009, parallel to the criminal case.
→ Entity #17
contractual confirmed
22 federal contracts for data services and software platforms
→ Entity #833
organizational confirmed
SEC's civil enforcement division investigating market manipulation and insider trading
→ Entity #392
created confirmed
SEC created Form SH through emergency orders for short sale reporting
→ Entity #918
regulatory_subject confirmed
Herro filed with SEC re: WLF (Oct 2024, Jul 2025). Reuters filed FOIA seeking complaints re: Pacer Capital and Herro. Dough Finance lawsuit alleges operation without SEC registration.
→ Entity #411
regulatory filing requirement primary since documented
Venture capital firms are required to file Form D disclosures with the SEC for private securities offerings
→ Entity #793
regulatory_filer_and_shareholder_activist, regulatory_filing primary
The Comptroller's office regularly files PX14A6G notices of exempt solicitation with the SEC on behalf of NYC pension funds for shareholder proposals at companies like Goldman Sachs, Bank of America, Morgan Stanley, and RBC. · New York City Comptroller filed filing with the SEC on 2003-03-31
← Entity #2485
regulatory filing primary since 2023
Rashida Tlaib filed a filing with the SEC on 2023-10-17
← Entity #2487
regulatory_filing primary since 2003
John Thune filed a filing with the SEC on 2003-11-06
← Entity #9719
regulatory_coordination confirmed
Both agencies involved in financial disclosure oversight under STOCK Act
← Entity #2760
regulatory_filing primary since 2005
Virgin Islands Economic Development Commission filed with the SEC on 2005-04-15
← Entity #7
oversight confirmed
Wyden as Finance Committee ranking member has oversight of SEC
← Entity #930
leadership confirmed
Current SEC Chairman overseeing prediction market regulation coordination with CFTC
← Entity #518
former_leadership confirmed
Former SEC Chair, now US Attorney prosecuting prediction market fraud
← Entity #7991
regulatory likely
CFTC-registered prediction market platform subject to potential SEC jurisdiction for securities-based contracts
← Entity #7992
regulatory likely
Prediction market platform under federal investigation for potential securities violations
← Entity #8000
regulatory_parallel confirmed
CFTC anti-fraud rule modeled on SEC Rule 10b-5 for insider trading enforcement
← Entity #519
functional_equivalent confirmed
UK corporate filing system equivalent to US EDGAR
← Entity #686
leadership confirmed
SEC Chair who testified about SPAC concerns in May 2021
← Entity #22
regulatory_oversight confirmed
Founders Fund LLC is registered with and regulated by the SEC as an investment adviser
← Entity #30
regulated_by confirmed
Registered as investment adviser under SEC oversight
← Entity #31
regulated_entity confirmed
Clarium Capital was registered as investment adviser with SEC under CRD number 138971
← Entity #828
adversarial confirmed
Hacker who breached SEC EDGAR system
← Entity #831
contractor confirmed
Awarded contract for EDGAR modernization requirements
← Entity #830
contractor likely
Provided forensic investigation services for EDGAR breach
← Entity #832
internal oversight confirmed
Conducted audit of EDGAR enhancement efforts
← Entity #836
internal unit confirmed
SEC office created to oversee EDGAR modernization
← Entity #841
archival_custody confirmed
NARA maintains historical SEC electronic records with documented gaps
← Entity #966
registered_with confirmed
US entity is registered investment adviser under SEC file 801-108927
← Entity #835
organizational_subdivision primary since 2000s
Market Abuse Unit operates as a specialized enforcement division within the SEC
← Entity #3284
regulatory_filing primary since 2011
Office of Acquisition Management filed a filing with the SEC on 2011-03-15
← Entity #3285
regulatory filing primary since 2006
Information Technology Division filed a filing with the SEC on 2006-03-06
← Entity #6949
regulatory_oversight confirmed
Registered as investment adviser under SEC regulation with CRD 157373
← Entity #6950
regulatory_oversight confirmed
Separate SEC-registered investment adviser entity
← Entity #4182
regulatory_filing primary since 2014
National Imagery and Mapping Agency filed with the SEC on 2014-02-26
← Entity #4218
regulatory filing primary since 2023
Investment Security Unit filed filing with the SEC on 2023-09-06
← Entity #4540
regulatory_filing primary since 2026
Dick Durbin filed filing with the SEC on 2026-03-31
← Entity #4219
regulatory primary since 2021
National Security Secretariat filed SEC filing on 2021-09-27
← Entity #182
regulatory_filing primary since 2017
Army Contracting Command filed a filing with the SEC on 2017-03-22
← Entity #279
regulatory filing primary since 2010
US Forest Service filed filing with the SEC on 2010-09-10 with accession number listed as N/A
← Entity #209
regulatory_filing primary since 2012
Marine Corps Systems Command filed a filing with the SEC on 2012-03-16, though the specific accession number is not available
← Entity #282
regulatory filing primary since 2005
Executive Office for United States Attorneys filed filing with the SEC on 2005-08-31
← Entity #370
regulatory_filing primary since 2011
U.S. Attorney's Office for the Southern District of Florida filed filing with the SEC on 2011-02-24
← Entity #377
filing_entity primary since 2021
Office of Professional Responsibility filed filing with the SEC on 2021-12-16
← Entity #412
regulatory_filing primary since 2024
Defense Innovation Board filed a filing with the SEC on 2024-04-11
← Entity #508
regulatory_filing primary since 2009
Financial Supervisory Service filed filing with the SEC on 2009-09-14
← Entity #611
regulatory filing primary since 2007
Government Accountability Office filed filing with the SEC on 2007-11-02
← Entity #669
regulatory_filing primary since 2022
Foreign Investment Committee filed a filing with the SEC on 2022-02-01
← Entity #644
regulatory filing primary since 2008
BIS filed filing with the SEC on 2008-11-19
← Entity #687
regulatory_oversight primary since 2021
The SEC falls under the oversight jurisdiction of the Subcommittee on Investor Protection, Entrepreneurship and Capital Markets, particularly regarding IPO vehicles and investor protections discussed in their May 2021 SPAC hearing
← Entity #692
regulatory_filing primary since 2026
Bureau of the Fiscal Service filed filing with the SEC on 2026-04-08
← Entity #820
regulatory_filing primary since 2015
PPIP filed SEC filing on March 10, 2015
← Entity #834
organizational_unit primary since 2018
Cyber Unit is a specialized enforcement unit within the SEC that filed SEC filing on 2018-09-14
← Entity #837
regulatory_filing primary since 2013
U.S. Attorney's Office for the District of New Jersey filed a filing with the SEC on 2013-08-29
← Entity #902
regulatory_filing primary since 2008
Tennessee Valley Authority filed a filing with the SEC on 2008-12-16
← Entity #913
regulatory_filing primary since 2024
Nevada Secretary of State filed filing with the SEC on 2024-09-27
Positioned to benefit (2)
World events where this entity surfaces as a derived beneficiary via documented connections, donor flows, contracts, or market signals. All events →
Contract holder AI Inference Pending evidence 2026-04-15
Honesty Test Primary
contractual relationship to Palantir Technologies — 22 federal contracts for data services and software platforms.
Contract holder AI Inference Pending evidence 2026-04-15
Honesty Test Secondary
contractual relationship to Palantir Technologies — 22 federal contracts for data services and software platforms.
Sources (37)
— ↗ SEC EDGAR technical specifications web_search Processed
2025-01-20 ↗ SEC press releases and legal filings web_search Processed
2026-02-01 ↗ Multiple regulatory announcements web_search Processed
2026-02-25 ↗ Official CFTC advisory release web_search Processed
2026 UNVERIFIED Research: Securities and Exchange Commission — Parliamentary records (no results… parliamentary_record Processed
2026 UNVERIFIED Research: Securities and Exchange Commission — Court records (no results) court_document Processed
2026 UNVERIFIED Research: Securities and Exchange Commission — Lobbying disclosures (no results) government_disclosure Processed
2026 UNVERIFIED Research: Securities and Exchange Commission — Corporate registrations (no resul… government_disclosure Processed
2026 UNVERIFIED Research: Securities and Exchange Commission — USASpending contracts (no results… contract Processed
2003-03-20 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2003-03-20) web_search Processed
— ↗ Federal Procurement Data System search results web_search Processed
2026-03-17 ↗ Multiple legal firm reports on joint agency guidance web_search Processed
2025-05-25 ↗ Wikipedia current statistics web_search Processed
2016-01-01 ↗ Fortune investigation with SEC sources web_search Processed
2016-10-01 ↗ Multiple SEC press releases and Fortune investigation web_search Processed
2016-01-01 ↗ SEC Chairman Jay Clayton official statement web_search Processed
— ↗ Investment Advisers Act Section 203(m) private fund adviser exemption web_search Processed
— ↗ Investment Advisers Act exemptions under Section 203(l) web_search Processed
— ↗ Investment Advisers Act Section 203A as amended by Dodd-Frank web_search Processed
2011-07-21 ↗ Dodd-Frank Wall Street Reform and Consumer Protection Act implementation web_search Processed
— ↗ SEC Form ADV instructions and regulatory guidance web_search Processed
— ↗ SEC Form ADV regulations under 17 C.F.R. § 275.204-1 discovery_scope_note Processed
2025-05-25 ↗ SEC database statistics web_search Processed
2024-01-01 ↗ SEC system upgrade documentation web_search Processed
— ↗ SEC guidance on filing correction procedures web_search Processed
— ↗ SEC guidance on correct or delete filing procedures web_search Processed
2021-01-01 ↗ Committee on Capital Markets Regulation report on SPACs and retail investors web_search Processed
— ↗ Alter Domus regulatory compliance guide web_search Processed
2023-01-01 ↗ SPAC performance analysis from High Tech Investing publication web_search Processed
2021-12-31 ↗ SPAC market data from multiple financial sources web_search Processed
— ↗ Alter Domus compliance requirements documentation web_search Processed
— ↗ AngelList and SEC compliance documentation web_search Processed
— ↗ SEC Form ADV instructions and compliance guidance discovery_scope_note Processed
2008-09-21 ↗ Sullivan & Cromwell analysis and Federal Register web_search Processed
2008-10-17 ↗ Harvard Law School Corporate Governance analysis web_search Processed
2008-09-22 ↗ Federal Register Emergency Order 58591 web_search Processed
2008-09-17 ↗ SEC Press Release 2008-211 and Federal Register documents web_search Processed