SUBJECT-0391.dossier · government agency · status: active
Securities and Exchange Commission SC
subject of file

Securities and Exchange Commission

Federal securities regulator that issued emergency orders
Tracked because Federal securities regulator that issued emergency orders · 60 documented connections
Facts on record42
Connections mapped60
Sources cited46
✦ Thin coverage gap +46 connected to 60 entities · only 42 facts on record · flagged for follow-up research
Evidence: 40P+32 1S 1I
Network web → Timeline → Compare with… → Position Drift → Coverage tone → View on Graph → View Card → Export CSV JSON Dossier ← Entity Directory
🧠 Cognitive harm under your jurisdiction
Inferential confidence
Tracked platforms whose owners fall under this entity's regulatory or committee oversight.
2 documented harms · Documented
via Elon Musk (oversight)
Inferred path: each card shows the connecting entity. See full methodology →
Intelligence Brief Read full brief →
Autonomous synthesis of the primary-source record 2026-10-02

AI-generated from the database of facts, sources and connections. Sources cited inline; inferences explicitly labelled.

Stated vs Revealed
No documented contradictions on file.
[PUBLIC COST ESTIMATE]
Documented financial relationships span 0 money flow chains, while 10 elected officials hold documented connections.
0Money Chains
0Traced Hops
Connected Officials
Calculation Methodology

Contract values are summed from documented money flow chains where this entity appears as a source or destination node. Amounts are drawn from USASpending.gov, FEC filings, SEC EDGAR, or LD-2 lobbying registrations.

Donor contributions aggregate documented amounts from the donor_interests table, sourced from FEC individual and PAC contribution filings.

Connected officials are elected officials in our database with a mapped relationship (lobbying, board membership, campaign contribution, etc.) to this entity.

Annualised flow represents the total documented dollar amount traced through money flow hops involving this entity. Where hop-level amounts are unavailable, the chain-level documented total is used as a conservative upper bound.

All figures are drawn from public filings. Estimates are conservative — undisclosed transactions, dark money, and vanish-point hops are excluded from totals. This is a minimum documented floor, not a ceiling.

PATTERN person → [regulatory filing] → government agency → [regul... 8424× PATTERN company → [regulatory filing] → government agency → [regu... 8424× PATTERN company → [regulatory filing] → government agency → [regu... 5356× PATTERN person → [regulatory filing] → government agency → [regul... 3240× PATTERN company → [regulatory filing] → government agency → [regu... 3121×
Connection Map
Key Connections
← Market Abuse Unit government agency
organizational_subdivision
Market Abuse Unit operates as a specialized enforcement division within the SEC
← John Thune elected official
regulatory_filing
John Thune filed a filing with the SEC on 2003-11-06
← Senate Permanent Subcommittee on Investigations government agency
filing_record
Senate Permanent Subcommittee on Investigations filed filing with the SEC on 2003-12-08
← Virgin Islands Economic Development Commission (EDC) government agency
regulatory_filing
Virgin Islands Economic Development Commission filed with the SEC on 2005-04-15
← Thomas P. Smith person
filed a filing with
Thomas P. Smith filed a filing with the SEC on 2006-05-30. Accession number: N/A
← Tennessee Valley Authority government agency
regulatory_filing
Tennessee Valley Authority filed a filing with the SEC on 2008-12-16
← Financial Supervisory Service government agency
regulatory_filing
Financial Supervisory Service filed filing with the SEC on 2009-09-14
← Brian Campbell person
filed regulatory document
Brian Campbell filed a filing with the SEC on 2010-09-17.
Facts (42)
Data Freshness
Stale Last update: 183d ago · Avg age: 1639d
Confidence Tiers: Primary Source — cross-referenced government/corporate filings Pending Review — sourced but not independently verified AI Inference — analytical hypothesis from cross-referencing
✓ Verified Findings (41)
Independently re-checked: a second model read the source artifact and confirmed it supports the extracted claim.
✓ verified Primary Source Each EDGAR submission receives unique accession number for identification in database
✓ verified Primary Source SEC EDGAR assigns unique accession numbers to all properly processed filings since 1996
Date: 1996-01-01 Added: 17 Apr 2026 ↗ SOURCE: Nextgov reporting on SEC contracts
✓ verified Primary Source SEC dismissed multiple crypto enforcement actions and closed investigations since January 2025 under new leadership
Date: 2025-01-20 Added: 16 Apr 2026 ↗ RECORDS: SEC press releases and legal filings
✓ verified Primary Source SEC and CFTC announced they will meet regularly to coordinate on overlapping issues including prediction markets
Date: 2026-02-01 Added: 16 Apr 2026 ↗ SOURCE: Multiple regulatory announcements
✓ verified Primary Source 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 ↗ RECORDS: Official CFTC advisory release
✓ verified Partially Corroborated Securities and Exchange Commission filed filing with the SEC on 2003-03-20. Accession number: N/A.
✓ verified Primary Source SEC announced enforcement results for fiscal year 2025 totaling $17.9 billion in monetary relief
Date: 2026-04-01 Added: 14 Apr 2026 ↗ RECORDS: HigherGov federal contractor database
✓ verified Primary Source FPDS database shows 22 contracts between Palantir Technologies Inc. and Securities and Exchange Commission
✓ verified Primary Source 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
✓ verified Primary Source The SEC and CFTC issued joint interpretive guidance on March 17, 2026 clarifying crypto asset classification under federal securities laws
✓ verified Primary Source Over 17 million filings existed in EDGAR as of May 25, 2025
Date: 2025-05-25 Added: 09 Apr 2026 ↗ SOURCE: Wikipedia current statistics
✓ verified Primary Source 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 ↗ RECORDS: Chapter 7 bankruptcy petition
✓ verified Primary Source 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 ↗ SOURCE: Fortune investigation with SEC sources
✓ verified Primary Source EDGAR breach was discovered and addressed in October 2016, but SEC only learned of potential illicit trading use in August 2017
✓ verified Primary Source SEC EDGAR system was breached in 2016 through software vulnerability in test filing component
Date: 2016-01-01 Added: 09 Apr 2026 ↗ SOURCE: SEC Chairman Jay Clayton official statement
✓ verified Primary Source Private fund advisers with less than $150 million in assets under management are exempt from SEC registration but may be required to file reports
✓ verified Primary Source Venture capital fund advisers are exempt from SEC registration if they solely advise venture capital funds as defined by SEC rules
✓ verified Primary Source 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
✓ verified Primary Source The Dodd-Frank Act eliminated the private adviser exemption effective July 21, 2011, requiring larger private fund advisers to register with the SEC
✓ verified Primary Source Form ADV Part 1 requires information about investment adviser business, ownership, clients, employees, business practices, affiliations, and disciplinary events
✓ verified Primary Source Investment advisers must file Form ADV with the SEC to register and provide annual updating amendments within 90 days of fiscal year end
✓ verified Primary Source Over 17 million filings stored in EDGAR database as of May 25, 2025
Date: 2025-05-25 Added: 08 Apr 2026 ↗ SOURCE: SEC database statistics
✓ verified Primary Source EDGAR Next platform launched in 2024, requiring Login.gov authentication for all filers
Date: 2024-01-01 Added: 08 Apr 2026 ↗ RECORDS: SEC system upgrade documentation
✓ verified Primary Source Foreign companies and foreign governments required to submit filings via EDGAR beginning November 4, 2002
Date: 2002-11-04 Added: 08 Apr 2026 ↗ RECORDS: Chapter 7 bankruptcy petition
✓ verified Primary Source EDGAR database was hacked in September 2017, with companies' data potentially used for insider trading
✓ verified Primary Source Filers must make affirmative request that SEC staff change submission to correct information, including any date adjustment, due to EDGAR or SEC staff error
✓ verified Primary Source SEC staff generally do not correct errors in EDGAR filings and will consider making deletions or adjustments for errors only in rare circumstances
✓ verified Primary Source SEC requires electronic filing of most forms through EDGAR system with specific procedures for corrections and amendments
✓ verified Primary Source Institutional investors contribute the vast majority of investment dollars in SPACs, with minimal participation by retail investors
✓ verified Primary Source 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 ↗ RECORDS: Chapter 7 bankruptcy petition
✓ verified Primary Source 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
✓ verified Primary Source Venture capital firms are required to file Form D disclosures with the SEC for private securities offerings
✓ verified Primary Source Over 324 SPACs from the 2021 cohort (more than 50%) were liquidated without completing acquisitions
✓ verified Primary Source In 2021, there were 613 SPAC IPOs that raised $162.5 billion in total
✓ verified Primary Source ERAs must file Form ADV updates at least once annually, within 90 days of fiscal year end
✓ verified Primary Source Most venture capital firms qualify as Exempt Reporting Advisers (ERAs) and have different Form ADV requirements than fully registered investment advisers
✓ verified Primary Source SEC requires investment advisers to file Form ADV annual amendments within 90 days of the end of their fiscal year
✓ verified Primary Source The emergency orders were amended on September 21, 2008, to delay public disclosure of Form SH filings by two weeks
✓ verified Primary Source The SEC's emergency orders were initially set to expire October 2, 2008, but were extended to October 17, 2008
✓ verified Primary Source 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 ↗ SOURCE: Federal Register Emergency Order 58591
✓ verified Primary Source The SEC issued three emergency orders on September 17-18, 2008, under Section 12(k)(2) of the Securities Exchange Act
All Connections (60)
→ Project Crypto instrument
oversight confirmed
Joint SEC-CFTC initiative to coordinate crypto and prediction market oversight
→ Frank DiPascali person
civil_defendant primary
The SEC filed a civil complaint against DiPascali on August 11, 2009, parallel to the criminal case.
→ Division of Enforcement government agency
affiliation confirmed
SEC's civil enforcement division investigating market manipulation and insider trading
→ Form SH instrument
created confirmed
SEC created Form SH through emergency orders for short sale reporting
→ Chase Herro person
oversight 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.
→ New York City Comptroller government agency
oversight, 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
Data source primary since Unknown
FPDS database shows 22 contracts between Palantir Technologies Inc. and Securities and Exchange Commission
→ USASpending.gov institution
Data source discrepancy primary since 2026
Search scope note indicates no usaspending contracts found for SEC in automated database search as of 2026-04-15, reflecting search coverage limits
→ Maiden Lane LLC instrument
oversight inferential since 2008
Emergency orders requiring Form SH filings related to short selling during 2008 crisis when Maiden Lane facilities were established by Federal Reserve
→ Form D instrument
regulatory_filing primary since documented
Venture capital firms are required to file Form D disclosures with the SEC for private securities offerings
→ Palantir Technologies company
contractor confirmed
22 federal contracts for data services and software platforms
← OpenAI company
Regulatory Filing primary since 2026
OpenAI filed a filing with the SEC on 2026-05-04. Accession number is N/A.
← John Thune elected official
regulatory_filing primary since 2003
John Thune filed a filing with the SEC on 2003-11-06
← Office of Government Ethics government agency
oversight confirmed
Both agencies involved in financial disclosure oversight under STOCK Act
regulatory_filing primary since 2005
Virgin Islands Economic Development Commission filed with the SEC on 2005-04-15
← Ron Wyden elected official
oversight confirmed
Wyden as Finance Committee ranking member has oversight of SEC
← Paul S. Atkins person
employment confirmed
Current SEC Chairman overseeing prediction market regulation coordination with CFTC
← Jay Clayton person
former_leadership confirmed
Former SEC Chair, now US Attorney prosecuting prediction market fraud
← CFTC Rule 180.1 instrument
oversight confirmed
CFTC anti-fraud rule modeled on SEC Rule 10b-5 for insider trading enforcement
← Companies House institution
functional_equivalent confirmed
UK corporate filing system equivalent to US EDGAR
← Gary Gensler person
employment confirmed
SEC Chair who testified about SPAC concerns in May 2021
← Valar Ventures company
regulated_by confirmed
Registered as investment adviser under SEC oversight
← Clarium Capital company
regulated_entity confirmed
Clarium Capital was registered as investment adviser with SEC under CRD number 138971
← Oleksandr Ieremenko person
adversarial confirmed
Hacker who breached SEC EDGAR system
contractor confirmed
Awarded contract for EDGAR modernization requirements
← FireEye company
contractor likely
Provided forensic investigation services for EDGAR breach
← EDGAR Business Office government agency
internal unit confirmed
SEC office created to oversee EDGAR modernization
archival_custody confirmed
NARA maintains historical SEC electronic records with documented gaps
registered_with confirmed
US entity is registered investment adviser under SEC file 801-108927
← Market Abuse Unit government agency
organizational_subdivision primary since 2000s
Market Abuse Unit operates as a specialized enforcement division within the SEC
← Office of Acquisition Management government agency
regulatory_filing primary since 2011
Office of Acquisition Management filed a filing with the SEC on 2011-03-15
← National Imagery and Mapping Agency government agency
regulatory_filing primary since 2014
National Imagery and Mapping Agency filed with the SEC on 2014-02-26
← Dick Durbin elected official
regulatory_filing primary since 2026
Dick Durbin filed filing with the SEC on 2026-03-31
← Army Contracting Command government agency
regulatory_filing primary since 2017
Army Contracting Command filed a filing with the SEC on 2017-03-22
← Marine Corps Systems Command government agency
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
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
filing_entity primary since 2021
Office of Professional Responsibility filed filing with the SEC on 2021-12-16
← Defense Innovation Board government agency
regulatory_filing primary since 2024
Defense Innovation Board filed a filing with the SEC on 2024-04-11
← Financial Supervisory Service government agency
regulatory_filing primary since 2009
Financial Supervisory Service filed filing with the SEC on 2009-09-14
← Foreign Investment Committee government agency
regulatory_filing primary since 2022
Foreign Investment Committee filed a filing with the SEC on 2022-02-01
← Bureau of the Fiscal Service government agency
regulatory_filing primary since 2026
Bureau of the Fiscal Service filed filing with the SEC on 2026-04-08
regulatory_filing primary since 2015
PPIP filed SEC filing on March 10, 2015
← Cyber Unit government agency
organizational_unit primary since 2018
Cyber Unit is a specialized enforcement unit within the SEC that filed SEC filing on 2018-09-14
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
← Tennessee Valley Authority government agency
regulatory_filing primary since 2008
Tennessee Valley Authority filed a filing with the SEC on 2008-12-16
← Nevada Secretary of State government agency
regulatory_filing primary since 2024
Nevada Secretary of State filed filing with the SEC on 2024-09-27
← Senate Judiciary Committee government agency
oversight secondary since ongoing
Senate Judiciary Committee may have oversight responsibilities related to SEC enforcement and securities law
filing_record primary since 2003
Senate Permanent Subcommittee on Investigations filed filing with the SEC on 2003-12-08
← James Comer elected official
regulatory_filing primary since 2013
James Comer filed a filing with the SEC on 2013-04-29
← Ted Cruz elected official
regulatory_filing primary since 2015
Ted Cruz filed SEC filing on 2015-09-22
← Brian Campbell person
filed regulatory document primary since 2010
Brian Campbell filed a filing with the SEC on 2010-09-17.
filing relationship primary since 2017
Anand Chandrasekaran filed a document with the SEC on 2017-05-04, per the documented facts.
← Klaytn company
regulatory_filing primary since 2021
Klaytn filed a submission with the SEC on 2021-11-30, per documented facts.
← Jes Staley person
filed regulatory disclosure primary since 2015
Jes Staley filed a filing with the SEC on 2015-09-02.
filing_entity primary since 2010
Applied Materials Korea (AMK) filed a filing with the SEC on 2010-12-10.
regulatory_filing primary since 2021
Salazar filed a filing with the SEC on 2021-06-25 (Accession number: N/A), and later violated the STOCK Act by failing to timely disclose a Cano Health Inc. stock trade.
← Maria Bucher person
Filer-Regulator primary since 2012
Maria Bucher filed a filing with the SEC on 2012-07-10 (accession number N/A).
filing_recipient primary since 2025
Science, Innovation and Technology Committee filed a filing with the SEC on 2025-02-27.
← Tom Watson person
filer/regulator primary since 2022
Tom Watson filed a filing with the SEC on 2022-11-21. Accession number: N/A.
← Thomas P. Smith person
filed a filing with primary since 2006
Thomas P. Smith filed a filing with the SEC on 2006-05-30. Accession number: N/A
Sources (46)
2023-08-02 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2023-08-02) sec_filing Processed 📜 Receipt
2008-03-28 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2008-03-28) sec_filing Processed 📜 Receipt
2011-09-28 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2011-09-28) sec_filing Processed 📜 Receipt
2016-06-10 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2016-06-10) sec_filing Processed 📜 Receipt
2007-09-19 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2007-09-19) sec_filing Processed 📜 Receipt
2003-03-20 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2003-03-20) sec_filing Processed 📜 Receipt
2007-05-09 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2007-05-09) sec_filing Processed 📜 Receipt
2014-03-28 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2014-03-28) sec_filing Processed 📜 Receipt
2004-03-04 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2004-03-04) sec_filing Processed 📜 Receipt
— ↗ SEC EDGAR technical specifications web_search Processed 📜 Receipt
2025-01-20 ↗ SEC press releases and legal filings web_search Processed 📜 Receipt
2026-02-01 ↗ Multiple regulatory announcements web_search Processed 📜 Receipt
2026-02-25 ↗ Official CFTC advisory release web_search Processed 📜 Receipt
2026 UNVERIFIED Research: Securities and Exchange Commission — Parliamentary records (no results… parliamentary_record Processed 📜 Receipt
2026 UNVERIFIED Research: Securities and Exchange Commission — Court records (no results) court_document Processed 📜 Receipt
2026 UNVERIFIED Research: Securities and Exchange Commission — Lobbying disclosures (no results) government_disclosure Processed 📜 Receipt
2026 UNVERIFIED Research: Securities and Exchange Commission — Corporate registrations (no resul… government_disclosure Processed 📜 Receipt
2026 UNVERIFIED Research: Securities and Exchange Commission — USASpending contracts (no results… contract Processed 📜 Receipt
2003-03-20 ↗ SEC EDGAR: filing — Securities and Exchange Commission (2003-03-20) web_search Processed 📜 Receipt
— ↗ Federal Procurement Data System search results web_search Processed 📜 Receipt
2026-03-17 ↗ Multiple legal firm reports on joint agency guidance web_search Processed 📜 Receipt
2025-05-25 ↗ Wikipedia current statistics web_search Processed 📜 Receipt
2016-01-01 ↗ Fortune investigation with SEC sources web_search Processed 📜 Receipt
2016-10-01 ↗ Multiple SEC press releases and Fortune investigation web_search Processed 📜 Receipt
2016-01-01 ↗ SEC Chairman Jay Clayton official statement web_search Processed 📜 Receipt
— ↗ Investment Advisers Act Section 203(m) private fund adviser exemption web_search Processed 📜 Receipt
— ↗ Investment Advisers Act exemptions under Section 203(l) web_search Processed 📜 Receipt
— ↗ Investment Advisers Act Section 203A as amended by Dodd-Frank web_search Processed 📜 Receipt
2011-07-21 ↗ Dodd-Frank Wall Street Reform and Consumer Protection Act implementation web_search Processed 📜 Receipt
— ↗ SEC Form ADV instructions and regulatory guidance web_search Processed 📜 Receipt
— ↗ SEC Form ADV regulations under 17 C.F.R. § 275.204-1 discovery_scope_note Processed 📜 Receipt
2025-05-25 ↗ SEC database statistics web_search Processed 📜 Receipt
2024-01-01 ↗ SEC system upgrade documentation web_search Processed 📜 Receipt
— ↗ SEC guidance on filing correction procedures web_search Processed 📜 Receipt
— ↗ SEC guidance on correct or delete filing procedures web_search Processed 📜 Receipt
2021-01-01 ↗ Committee on Capital Markets Regulation report on SPACs and retail investors web_search Processed 📜 Receipt
— ↗ Alter Domus regulatory compliance guide web_search Processed 📜 Receipt
2023-01-01 ↗ SPAC performance analysis from High Tech Investing publication web_search Processed 📜 Receipt
2021-12-31 ↗ SPAC market data from multiple financial sources web_search Processed 📜 Receipt
— ↗ Alter Domus compliance requirements documentation web_search Processed 📜 Receipt
— ↗ AngelList and SEC compliance documentation web_search Processed 📜 Receipt
— ↗ SEC Form ADV instructions and compliance guidance discovery_scope_note Processed 📜 Receipt
2008-09-21 ↗ Sullivan & Cromwell analysis and Federal Register web_search Processed 📜 Receipt
2008-10-17 ↗ Harvard Law School Corporate Governance analysis web_search Processed 📜 Receipt
2008-09-22 ↗ Federal Register Emergency Order 58591 web_search Processed 📜 Receipt
2008-09-17 ↗ SEC Press Release 2008-211 and Federal Register documents web_search Processed 📜 Receipt