Sec. 303. Publication on economic data on securities markets
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The Division of Economic and Risk Analysis of the Commission shall annually publish data on the following with respect to a year: The number of offerings, and offering amounts by type, which shall include, with respect to each offering, the type of issuer, the type of security, and the type of exemption, if applicable. The cost of performing an offering, including the ongoing costs of performing a particular type of offering (such as the requirement to file certain forms with the Commission), which shall be disaggregated by— the size and type of issuer; and the exemption used by issuers with respect to the particular offering; or the registered status of issuers.
The costs to issuers of complying with the Sarbanes-Oxley Act of 2002 ( 15 U.S.C. 7201 et seq. ) (and the rules issued under that Act), including the amounts paid by issuers to registered public accounting firms in connection with that compliance. All public enforcement actions taken by the Commission and self-regulatory organizations against persons within the jurisdiction of those entities, including— the number and types of violations of any provision of law (including regulations) that either such entity is authorized to enforce; the number and types of violators; and the amount of money collected in penalties as a result of that enforcement.
Market capitalization by type of issuer and security. The number of reporting companies, Regulation A issuers, and crowdfunding issuers. Trading volumes by exchange or alternative trading system. Market participants, including the number and, if relevant, size of— broker-dealers; registered representatives; exchanges; alternative trading systems; investment companies; investment advisers registered with the Commission under the Investment Advisers Act of 1940 ( 15 U.S.C. 80b–1 et seq. ); and other entities determined appropriate by the Commission.
In annually publishing the data required under subsection (a), the Division of Economic and Risk Analysis of the Commission shall— publish that data for each of the 10 years preceding the date of publication; and make the data described in paragraph (1)— available as an open Government data set; freely available for download in bulk; and rendered in a human-readable format.
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U.S. Code
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- 15 USC 80b–1
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