is novatech registered with the sec. If you would like to earn extra income to supplement y. is novatech registered with the sec

 
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So, overall, If you are looking for a detailed NovaTech FX review, then you are in the right place. 2019 – Guidelines on the Adoption of Centralized (One-Stop-Shop) Framework for Accreditation/Selection of External Auditors/Auditing Firms of the Securities and Exchange Commission, Bangko Sentral ng Pilipinas and Insurance Commission’s Regulated and Supervised Institutions. ACCEPTANCE OF REVIEWED INTERIM FS IN REGISTRATION OF SECURITIES FOR IPO 15 November 2023. The U. NovaTech may have traded securities without registration and without an applicable exemption from the registration requirement contrary to s. A hearing took place on March 2nd before the Capital Markets Tribunal, and just like an unwanted fruitcake at a holiday party, NovaTech FX was nowhere to be found. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website. 11, 2023 in NovaTech FX. I can confirm NovaTech the MLM opportunity is not registered with the SEC in the US. During the course of the investigation, the Commission found evidence that NovaTech appeared to have traded securities without registration and without an exemption to the registrationWashington D. c. The. Canada currently ranks as NovaTech FX’s. Group B Issuers of registered timeshares, proprietary and non-proprietary membership certificates, and corporations applying for the registration of. Also, it is said that the company’s founder was involved in some scams. crypto platform. 2. The income-producing real estate assets owned by a REIT may include real assets ( e. An offering to 40 sophisticated investors. BBB File Opened: 2/15/1998. The best answer is D. TORONTO, March 17, 2023 /CNW/ - The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered. WHY COLLECT The collected email addresses will be utilized solely for the mailing list. The primary purpose of the Securities Acts was to curb speculation and fraud in the markets. NovaTech LTD, an investment company, offers a forex, stocks and crypto trading platform. For Sole Proprietors, we highly recommend that the registered business owner register as a user in the portal. The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities. 95 one-time and $2. The broker is not licensed in any capacity, it advertises trading on MetaTrader5, but doesn’t offer a distribution of its own, and appears to charge hefty commission fees. WHY COLLECT The collected email addresses will be utilized solely for the mailing list. C. Draft the compulsory papers required for the specific business entity you intend to register, which are as follows: Articles of Incorporation and By-laws. Even if your company does not have an effective registration statement for a public offering, it could still be required to file a registration statement and become a reporting company under Section 12 of the Exchange Act if: it has more than $10 million in total assets and a class of equity securities, like common. falsely representing that NovaTech is a registered hedge fund in the United States; b. , mutual funds, closed-end funds, and unit investment trusts) and supersedes the “Investment Company Registration Package” that was previously distributed in a printed format. NOVATECH ADVISORS, LLC;NovaTech’s website domain (“novatechfx. Sign In Here. The enrollment process of all registered corporations will start on 15 March 2021. Securities Act of 1933. C. Practically speaking the move means little but it’s the loudest acknowledgement of securities fraud yet. NovaTech claims to be legally registered as Saint Vincent and the Grenadines, but we are unable to verify incorporation details. C. (b) SEC Form 12-1 SRS (Simplified RS for Hospitals) 2. ICOs, or more specifically tokens, can be called a variety of names, but merely calling a token a “utility” token or structuring it to provide some. Form ADV contains information about an investment adviser and its business operations. It offers the full control of a sole proprietorship and the limited liability of a corporation. The subjects of these alerts are persons or companies who appear to be engaging in securities activities that may pose a risk to investors. Vincent & Grenadines. If you would like to earn extra income to supplement y. Step 2: Select Your Entity. This company has not filled out any form with the SEC till now apart from the initial company registration. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government, created in the aftermath of the Wall Street Crash of 1929. 3, Series of 2007SEC business name registration is a mandatory requirement for entrepreneurs who will start a corporation or partnership business. Lack of authority body: The company needs to be registered with the Securities and Exchange Commission (SEC). There are a few important things you need to do here: Make sure you research different company names. Click here to subscribe:* In this video I review and. If you can’t find a firm on the FS Register, contact us on 0800 111 6768. NovaTech LTD is the stated owner of the company. The SEC Express System is an alternative mode of securing copies of Corporate or Partnership documents without having to personally come to the SEC. The Securities and Exchange Commission today voted to adopt amendments to the financial disclosure requirements for guarantors and issuers of guaranteed securities registered or being registered in Rule 3-10 of Regulation S-X, and affiliates whose securities collateralize securities registered or being registered in Rule 3-16 of. Get insights into your Novatech, L. Jumpstart Our Business Startups Act of 2012. This firm is currently registered with the SEC, 1 SRO and 53 U. SEC CERTIFICATION EXAMINATIONS SCHEDULE IN NOVEMBER AND DECEMBER 2023 AT THE SEC. 12 KB) STAY CONNECTED 1 Twitter 2 Facebook 3 RSS 4 YouTube 6 LinkedIn 8 Email Updates. Tips to protect yourself:Washington D. record holders from the registration requirement. company name, registration number, business type or registered agent). C. It is classified as Non-govt company and is registered at Registrar of Companies, Mumbai. The email addresses will not be shared with outside parties of the SEC. Question 128. 3-21800. After keying your options, click the Search Corporations icon to generate your search results. , found at and is not registered in Ontario to engage in the business of trading in securities. Are you looking for a reliable and. com) is not registered with the Autorité des marchés. Victims of NovaTech FX are advised to contact the SEC. The Securities Exchange Act of 1934 is MOST concerned with: A. NovaTech requires a minimum deposit of $99 and offers a maximum leverage of 1:100. ET on the date such securities are priced and that are sold by an issuer to an underwriter pursuant to a firm commitment underwritten offering registered under the. New versatile tool lets you search for keywords and phrases in over 20 years of EDGAR filings, and filter by date, company, person, filing category, or location. Securities and Exchange Commission (SEC) is an independent, federal government agency responsible for protecting investors, maintaining fair. 2023/18. C. This company has not filled out any form with. , found at and is not registered in Ontario to engage in the business of trading in securities. NovaTech LTD is listed as the owner, through what appears to be a bogus incomplete address (Vatican City). Dorene Johnson and Brian Houlihan. Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc. NovaTech FX’s withdrawal problems follow a securities fraud warning issued by the British Columbia Securities Commission earlier this month. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities regulator in any province or territory in Canada. Some ETFs are passively-managed funds that. 140, the securities registration section of the Securities Act of Washington, by offering and/or selling. Fixed Income. When selling securities, it's essential that you understand the difference between a registered and unregistered offering. Smith, Jr, Associate Regional Director (Enforcement)Read NovaTechFX Review here. Enter CAPTCHA. failing to disclose that the offer or sale of NovaTech’s securities was not qualified in California;Novatech was registered in 2019, so it is still relatively new. Under Item 4. Specifically, the amended rule provides that the standard T+1 settlement cycle does not apply to contracts for the sale for cash of securities that are priced after 4:30 p. ) Affidavit of Non-Operation certified under oath by the President and Treasurer; c. Many states have adopted exemptions that are similar to the federal exemptions for venture capital advisers and private fund advisers. NovaTech has never been registered with the Commission in any capacity and has never filed a prospectus with the Commission; 3. Stock Agency. 401k Plan, learn how to rollover Novatech, L. Novatech is not registered with the SEC - Securities and Exchange Commission and is therefore not subject to its regulations. 95 per month after. If a small business is offering and selling securities, even if to just one person, the offer and sale of the securities must either be registered with the SEC or conducted in accordance with one of the many registration exemptions under the Securities Act. . Recommended Forex Brokers VISIT NOW NovaTech advertises forex and crypto. I've been in this company for 8 months and it's been the best decision. com. any exemption contained in Ontario securities law does not apply to NovaTech. CoinEx Allowed Investors in New York to Buy and Sell Crypto without Registering with the State. Question: If an institutional purchaser buys a block of shelf-registered securities directly from the issuer, will the securities be deemed restricted securities? Answer: When there is a sale of a block of shelf-registered securities directly by the issuer to an institutional purchaser, the securities will not be deemed to be. This means you can use their platform with confidence, knowing that they're on the up-and-up. As per the OSC’s December 13th warning, NovaTech FX, operating as Novatech LTD, is not registered in Ontario to engage in the business of trading in securities. 5 Audit Requirement for Non-Reporting Target (Last updated:. The Securities and Exchange Commission has adopted new rules to improve the governance of all registered clearing agencies by. Advisers to business development companies, when the adviser has at least $25 million of RAUM, must register with the SEC. An idiosyncrasy of the federal securities laws is that the term “regulation” often refers to a collection of rules for example, Regulation S-K and Regulation SHO. If adopted, the changes would amend and redesignate rule 206 (4)-2, the Commission’s custody rule, under the Investment Advisers Act of 1940 and amend. This information sheet contains general information about certain provisions of the Investment Advisers Act of 1940 (also called the “Advisers Act”) and selected rules under the Advisers Act. 11, 2023 in NovaTech FX. The SEC wouldn’t issue a state-level fine through the DFI. Amendment of One Person Corporation. 4-460list. Visit the SEC website, create an account, and reserve a name. Fraudulent or unregistered offer or sale of securities, including things like. They sold these securities without registration and without prospectus disclosure. The SEC also charged Bittrex, Inc. TORONTO, March 17, 2023 /CNW/ - The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered. Registered financial professionals are licensed sales personnel who work for broker-dealer firms. This means you can use their platform with confidence, knowing that they're on the up-and-up. Issued By. Transfer money online in seconds with PayPal money transfer. is not registered to trade in, or advise on, securities or derivatives in B. , Robert F. All companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through. Abstract:The latest news regarding NovaTech FX reveals a complete halt of all payouts since May 11th, marking the completion of an alleged exit scam. Inch Calculator. The company subsequently registered the class securities under Section. For Your Information. SEC Form Membership Book (MB)On November 24, 2020, the U. Pursuant to Section 19(b)(1) [] of the Securities Exchange Act of 1934 (“Act”) and Rule 19b–4 thereunder, [] notice is hereby. Starting 19 April 2021, new applications for registration of One Person Corporations, Corporations with 2-4. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities regulator in any province or territory in Canada. SEC. Online Services SEC Company Registration System SEC eSPARC Electronic System for Payment to SEC (eSPAYSEC) SEC Capital Market Participants Registry System SEC Online Submission Tool MC28 Submission Portal SEC Express System SEC Express Nationwide Submission SEC Express Submission Appointment System Registration. 2023/18. Eddie Petion is not currently registered as a securities salesperson or broker-dealer in the state of Washington and has not previously been so registered. . NEW YORK – New York Attorney General Letitia James sued a cryptocurrency platform, COINEX (CoinEx), for failing to register as a securities and commodities broker-dealer and for falsely representing itself as a crypto exchange. Primary Registration. We urge BC residents to exercise caution when dealing with firms that are not registered to trade or advise in BC. This ascii text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC. The new members may be contributing to the payouts of old members. C. This company has not filled out any form with the SEC till now apart from the initial company registration. com 's industry. Cover Sheet for Registration. 32. CAPTCHA Security code. NovaTech has never been registered with the Commission in any capacity and has never filed a prospectus with the Commission; k. Gold Package – investment of $5000 – $9999, $25 monthly fee. OPC Resolution stating the name of the single stockholder, corporate name, amended provision/s including the date and place of signing. Section 17A(c) of the 1934 Act requires that transfer agents be registered with the SEC, or if the transfer agent is a bank, with a bank regulatory agency. , which is registered in SVG. Multi-state advisers that would otherwise be obligated to register with 15 or more states may register with the SEC. MC No. They've got their ducks in a row and are committed to operating within the boundaries of the law. It means that the website is Questionable. C. ⚠️ 03/02/2023 : Alberta Securities Commission Warned Against NovaTechFX. If you ever want to look up a particular investment advisor or broker, both the SEC and FINRA maintain a database where you could get some basic background information on things like registration status, employment history and disciplinary actions (if any). The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications. These developments include government-led cybersecurity reviews of certain companies raising capital through. l. However, in certain cases, state law will have additional requirements (e. Submit a insider report late fee payment. C. SimilarWeb tracks the US as the largest source of traffic to NovaTech FX’s website (68%). Recently, NovaTech FX talked about how they were audited by the FBI and passed even though CEO Cynthia Petion decided to burn. NovaTech Ltd, Cynthia Petion, and Eddie Petion violated RCW 21. (ii) Individual income in excess of $200,000 or joint income with that person’s spouse in excess of $300,000 for the last. Beginning on February 6, 2006, all open-end mutual funds (Form N-1A filers), insurance separate accounts organized as mutual funds. A. The SEC also charged Coinbase for failing to register the offer and sale of its crypto asset staking-as-a-service program. Voluntary dissolution In instances where no creditors are affected, corporations may apply for voluntary dissolution with the CRMD or the EO whose territorial jurisdiction includes the principal office address of the corporation. In the case of NovaTech FX, the allegations suggest that the company may have misled investors about the nature and safety of their investments, which is a grave violation of securities laws in many jurisdictions. Is Novatech registered? 4. Private companies usually issue shares under exemptions based on Section 4(a)(2) of the ’33 Act, which exempts offers and sales of securities by issuers in transactions. Domestic NON-STOCK CORPORATION. This means they are not authorized to offer trading in any securities. Securities that are not registered or that are labeled as "restricted" or "controlled" generally cannot be sold or resold on the public market. Basic Requirements. 3. They may need to be registered. The company is not registered with the SEC. Password Show. TORONTO, Feb. Insider trading. Even if the offering is not subject to state registration or. . generated via forex trading, neither NovaTech FX, Cynthia and Eddy Petion, or any of the above named promoters are registered with the SEC or CFTC. Today, the Commission unanimously proposed two rules further defining a dealer to help identify principal trading firms (PTFs) and firms conducting similar activities that must register with the SEC. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. Investor protection. securities regulators. NovaTech Ltd. Accessibility & Disability. SEDI is the System for Electronic Disclosure by Insiders, established by securities regulatory authorities. “Non-Profit Organization” (“NPO”) – refers to an SEC registered Non-Stock Corporation that primarily engages in raising or disbursing funds for purposes such asTitle: Updated Investor Bulletin: Regulation A The SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. CAPTCHA Security code. Kraken’s alleged failure to register these functions has deprived investors of significant. Update May 3rd, 2023 – NovaTech FX Misses Securities Fraud Hearing, OSC Extends Temporary Order. The List Is Intended To Assist The Public And The Securities Industry In Conducting Due Diligence. 00 rank according to the work of 53 factors that are relevant to novatechfx. CAPTCHA Security code. the acquisition of any securities by NovaTech, shall cease; and c. com. At September 30, 2023, we had an effective shelf registration statement filed with the SEC in October 2021 registering $750 million of equity securities, of which $300 million was reserved for sales under our at-the-market equity offering program that became effective November 2021. q. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the. S. NovaTech was established in July of 2019 and has been pa. which I was reinvesting each week and seeing the increases register in my account, but when the state of California. com. - Jan 23, 2021 - Updated Jan 18, 2023 NovaTech is an offshore broker. ~66% of NovaTech FX’s website traffic comes from the US. The information in this file is raw data — data that is meant to be used as input to. If you have further questions or need more assistance, please call the DFPI's Consumer Services Office at: 1-866-275-2677. C. Broker-dealers are in the business of buying and selling securities—stocks, bonds, mutual funds, and certain other investment products—on behalf of its customers (as broker), for its own account (as dealer), or both. Novatechoffice is an informational inclusive website platform that is able to provide abundant resources such as calculators, generated portfolios, helpful content related to investment, crypto, stock, forex, trading, finance and more. g. Our Head Office is located at Thane having an area of approx. Last known city and country of residence, or, the purported base of operation of each person or entity. Enter Username. Pending Application for Registration of Securities – CGFD Licensing Division. Following is a list of clearing agencies registered with the Commission: The Depository Trust Company (“DTC”) Order Granting DTC Full Registration, Release 34-20221. SEC supports sustainable and clean energy, innovation and the implementation of new environmental friendly technologies that support the Saudi economy. To check the status of this licensee, visit Financial Services and Mortgage Lending Licensees Search. The listed owner is NovaTech LTD May. NovaTech has recently made a lot of changes to their withdrawal rules. 8818-7163 8818-0763. Key Takeaways. Investors should also be aware that the company has been accused of engaging in fraudulent activities and should be wary of any promises of high returns or other incentives. The Investor Office leads the efforts at the OSC to identify and address investor issues and concerns. 3000 sq. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities regulator in any province or territory in Canada. CIK Lookup. Deposit the minimum paid-up capital requirement. remember me on this device. NovaTech FX investors are claiming the FBI audited and approved the suspected Ponzi scheme. 46. Providing protection to investors is a key part of the Ontario Securities Commission’s (OSC) mandate. 1. Not all securities offerings must be registered with the SEC—such as those issued by municipal, state and federal governments. SEC Form 12-1-ICA. Share your inquiry, and we’ll provide the insights you need to make informed decisions. Washington D. NovaTech is quite clearly offering a passive investment opportunity, which in the context of regulation is a securities offering. You can contact the SEC’s Office of Investor Education and Advocacy (OIEA) by phone at 1-800-732-0330, using this online form, or via email at Help@SEC. NovaTech is an unregulated forex broker registered in St. gov | HOMEBrinen & Associates provides dedicated legal services for securities matters in a wide range of industries and works with clients to ensure SEC compliance. Shelf registrations can ease the burden associated with the registration process by allowing one registration statement to register a. The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities. Securities and Exchange Commission as a “small entity compliance guide”. Happy trading! My mother is invested and since beginning of May 2023 is. The process by which a company files required documents with the Securities and Exchange Commission detailing the particulars of a proposed public offering . One of the central elements of the regulatory program is the requirement that a person or firm meeting the. Previously, the following entities are under Group B category: Clearing agency and clearing agency as depository; and Stock and securities exchange/s and other Self- Regulatory Organizations. Toronto – The Canadian Securities Administrators (CSA) is warning the public that Nova Tech Ltd (NovaTech), which operates the website is not registered with a securities regulator in any province or territory in Canada. falsely representing that NovaTech is a registered broker; d. Business Incorporated: 2/14/1994. Here, you can consult CSA member investor alerts. In determining record holders for purposes of this exemption, the calculation is the same as described below except that where the record. io”) was registered on June 17th, 2019. Password Show. Inquiries on Pending Applications/ Submission of Supplemental Requirements for Registrant Corporations with Less Than Five Incorporators (e. ). NovaTech LTD (novatechfx. Ontario investors who have been approached by NovaTech or purchased its investment products should contact the OSC’s Inquiries and Contact Centre at 1-877-785-1555 or inquiries@osc. Its authorized share capital is Rs. NovaTech FX has been issued a securities fraud stop and desist by California’s Division of Monetary Safety & Innovation (DFPI). 3. The company’s address was registered to be in Vatican City. has accepted funds from British Columbia (BC) residents. False or misleading statements about a company (including false or misleading. Notice to Members 01-32. Pyramid schemes. The email addresses will not be shared with outside parties of the SEC. Sounds a little bit too good to be true. ) Balance Sheet certified under oath by the Treasurer and President; b. Be cautious, as some allege it operates like a pyramid scheme. SEC Form ICA 7-A. SEC Videos; Media Gallery; List of Companies. Novatechfx. Some of the information collected in this filing is. Sign In Here. Unfortunately, there are still firms that work without our authorisation. Q2: Is Novatech Registered With The SEC? Ans: The NovaTechFx is a product of the NovaTech Ltd Partnership . Subscribe. Question: Can a company that files a Section 12(g) registration statement on Form 10, Form 20-F, or Form 8-A delay the effectiveness of the registration statement to a date after the 60-day period specified in Section 12(g)? Answer: No. Documents signed abroad must be authenticated by the Philippine Embassy or Consulate in the country. d. a. NovaTech FX is a cryptocurrency investment company with a MLM compensation plan attached that promises weekly passive returns. In October 2022, the British Columbia Securities Commission (BCSC) stated that NovaTech was not locally registered to conduct business activities related to. Who is Novatec? Novatec, Inc. Item 12. What is Novatech investment? 8. Each business is registered with business name, principal address,. Cover Sheet for Registration. This is the equivalent of a securities fraud warning in other jurisdictions. The registration provisions of The Securities Act, 1988 and accompanying regulations are intended to ensure that only honest and knowledgeable people are registered to sell securities and that their businesses are financially stable. 4. m and Taloja, Navi Mumbai having an area of approx. aka NovaTech, Ltd. 🛑*All new content will be released on my other channel Trader's Landing. #novatech #novatechfx #nova #ponzi #scambaiter #scam #sec #securities #novatec #securities_brokerage #investor #investment #investigation #prison #extreme. NovaTech prides itself on being not only a company that delivers reliable trading services, but also a company with a clear mission to improve the global community. Call (212) 330-8151 or send us a message to schedule a consultation. Cryptocurrency services are offered through Robinhood Crypto, LLC (RHC) (NMLS ID: 1702840). On March 2, 2023, the Tribunal extended the TCTO. NovaTechFx is a shady offshore broker we have already reviewed, but its new domain novatechfx. Washington D. B Securities issued by a government unit. Enter CAPTCHA. CAPTCHA Security code. The financial repercussions of this pandemic have certainly brought scammers and fraudsters to the fore. ) residents. Securities fraud is illegal regardless of the medium used to commit it (cryptocurrency, tulips, beanie babies etc. Section 15 (a) (1) requires any person that acts as a “broker” or “dealer” in securities in interstate commerce to register with the SEC. individuals involved in perpetuating NovaTech’s multi-level marketing scheme were publicly disseminating instructions on how to circumvent geographic restrictions. NovaTech FX’s business model is presented. $70. " . Note: Additional documents/information are required depending on the product availed via GCashPro. This means they are not authorized to offer trading in any securities or derivatives to. If you have further questions or need more assistance, please call the DFPI's Consumer Services Office at: 1-866-275-2677. NovaTech, LTD. The OSC urges investors always to check the registration of any person or business trying to sell them an investment or give them investment advice. C. CAPTCHA Security code. SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers. The Wisconsin NovaTech FX securities fraud fine was issued by Wisconsin’s DFI, a state-level regulator separate from the SEC (although they most certainly have open lines of communication). Tel: +886-2-23892999. Description: Registration statement for securities of certain foreign private issuers (PDF) Last Updated: Sept. A company issuing. We would like to collect personal data provided and input by you on this website in order to provide services to you. If the consideration to be issued in the business combination includes registered securities, registrants must comply with the financial statement requirements of Form S-4 or Form F-4. Respondents are violating Section 4004. Securities and Exchange Commission (SEC) intends to sue stablecoin issuer Paxos, which is behind the Pax dollar (USDP) and Binance USD (BUSD) tokens, over the latter. C. Certain internet advisers who provide advice through an interactive website may register with the SEC. Since the start of 2021, the Securities and Exchange Commission (SEC) in the Philippines was able. The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. Forgot User name or password? Click this link. The SEC as a federal regulator will have an office in Wisonsin or a regional office nearby. Mining.