Electronic Compliance Object · United States
What an agent must know before it acts on a security listed in United States: who regulates, where the filings are stored, what is due when, and which state the issuer is in.
| Field | Value | Source |
|---|---|---|
| Regulator | U.S. Securities and Exchange Commission (SEC) - homepage describes it as an agency that protects investors from misconduct and promotes fairness and efficiency in the securities markets www.sec.gov | www.sec.gov |
| Exchange(s) and listings page | New York Stock Exchange (NYSE) — www.nyse.com/listings_directory/stock Nasdaq Stock Market - Global Select Market (Q), Global Market (G), Capital Market (S) — www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs | www.nyse.com/listings_directory/stock www.nasdaqtrader.com/Trader.aspx?id=symboldirdefs |
| Regulated-information store | EDGAR (SEC Electronic Data Gathering, Analysis and Retrieval) - SEC Search Filings / full text search www.sec.gov/search-filings | www.sec.gov/edgar/search-and-access |
| Periodic disclosure obligations and deadlines | Form 10-K annual report — deadline: 60 days after the end of the fiscal year for large accelerated filers; 75 days for accelerated filers; 90 days for all other registrants (General Instruction A(2)) Form 10-Q quarterly report (first three fiscal quarters; none for Q4) — deadline: 40 days after the end of the fiscal quarter for large accelerated filers and accelerated filers; 45 days for all other registrants (General Instruction A.1) | www.sec.gov/files/form10-k.pdf www.sec.gov/files/form10-q.pdf |
| Ad hoc / inside-information regime | Form 8-K: 'Unless otherwise specified, a report is to be filed or furnished within four business days after occurrence of the event.' Regulation FD disclosure via Item 7.01 (furnished) or Item 8.01 must follow the deadline in Rule 100(a) of Regulation FD; Item 1.05 (material cybersecurity incident) within four business days after the registrant determines it | www.sec.gov/files/form8-k.pdf |
| Filing format | Inline XBRL: cover page and financial statement information in Forms 10-Q and 10-K, cover page and certain revised financials in Form 8-K (domestic filers); cover page and financial statements in Forms 20-F and 40-F (foreign private issuers) | www.sec.gov/structureddata/osd-inline-xbrl.html |
| ISIN prefix | US - CUSIP Global Services (CGS) states it is 'responsible for the assignment of ISINs in the U.S. and in other areas where designated or appointed' | www.cusip.com/identifiers.html |
| LEI | LEI = 20-character ISO 17442 code, issued by GLEIF-accredited LEI Issuers (Local Operating Units), searchable in the Global LEI Index via LEI Search. No US-specific LEI issuer or issuer-obligation statement read on an official page www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei | www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei |
| Market calendar | NYSE market holidays 2026-2028 and early closes (1:00 p.m. ET), e.g. Friday Nov 27 2026 and Thursday Dec 24 2026 www.nyse.com/markets/hours-calendars | www.nyse.com/markets/hours-calendars |
| Filing language(s) | English: Regulation S-T Rule 306(a) - 'all electronic filings or submissions must be in the English language, except as otherwise provided by this rule' (as stated in SEC release 33-8099) | www.sec.gov/rules-regulations/2002/05/mandated-edgar-filing-foreign-issuers |
| Trading halts page | NYSE current and historical trading halts (CSV download, email alerts; ET); Nasdaq Trader current trading halts www.nyse.com/trade-halt-current | www.nyse.com/trade-halt-current www.nasdaqtrader.com/Trader.aspx?id=TradeHalts |
| Store lookup | SEC Search Filings page: company search by name or ticker ('Starts with'/'Contains'), CIK Lookup at /search-filings/cik-lookup, Full Text Search at https://www.sec.gov/edgar/search/. No per-CIK URL pattern printed on the pages read www.sec.gov/search-filings | www.sec.gov/search-filings |
| Node status and door | NODE LIVE · as_of 2026-10-23 · 7,691 issuers · door https://mcp.us-cm-kg.ai/mcp mcp.us-cm-kg.ai/mcp | mcp.capitalmarketsknowledgegraph.ai/mcp (list_nodes, at render) |
| Signal | State | When |
|---|---|---|
| ACM-200 | TRADING | The ISIN is on this market's register (the node's current roster for the exchange list). |
| ACM-403 | HALTED | Trading in the line is suspended or halted by the exchange or regulator. The node's record carries the halt flag, read nightly from the market's halts page named in the fields. www.nyse.com/trade-halt-current |
| ACM-404 | NOT ON THE REGISTER | The ISIN is not on this market's register (not listed here, delisted, or never admitted). |
| ACM-451 | READ THE FILING | A regulatory filing for the issuer is dated in the last three days: read it before acting. The answer names it. |