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SEC Monitoring Hurricane Sally

The SEC is closely monitoring the impact of Hurricane Sally and stands ready to help ensure investor access to their securities accounts, provide extensions to filing or other regulatory deadlines, and to keep a watchful eye for storm-related scams.

SEC Response to COVID-19

See the overview of selected SEC response efforts to COVID-19.

FOCUSING ON MAIN STREET

The SEC’s focus on Main Street investors reflects the fact that American households own $29 trillion worth of equities — more than 58 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

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SEC Stories

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SEC’s San Francisco Regional Office Participates in Tele-Townhall on Coronavirus Scams

The San Francisco Regional Office director joined the AARP and other agencies in a tele-townhall to educate the public about COVID-19 scams.

How To Understand the New Form CRS: picture of a couple examining information on a computer screen

Understanding the New Relationship Summary With Your Financial Professional

Investors have a new tool when choosing a financial professional. This relationship summary document, known as Form CRS, provides important information about services, fees, and much more in one convenient place.

Featured Video

Accredited Investor

On August 26, 2020, the SEC adopted amendments that update the accredited investor definition, adding additional means for individuals and entities to be eligible to invest in the private capital markets. These changes will be effective 60 days after publication in the Federal Register.

Spotlight On

Tips for Main Street Investors from Chairman Jay Clayton

Chairman Jay Clayton and his SEC colleagues traveled around the country asking Main Street investors to “Tell Us” about their investment experiences. He is often asked, “What are your tips for investing?” In these videos, Chairman Clayton shares his personal notes on investing.

Latest News

SEC Awards Almost $250,000 to Joint Whistleblowers
Sept. 17, 2020
SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings
Sept. 17, 2020
SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities
Sept. 16, 2020
Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors
Sept. 15, 2020
SEC Releases Report and Recommendations on the 39th Annual Small Business Forum
Sept. 14, 2020

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We Inform and Protect Investors

Protect Your Money!

Check out an investment professional's registration status and background at Investor.gov.

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Advance Fee Fraud
Exchange-Traded Funds (ETFs)
Form 10-K
Variable Annuities

Before you invest, Investor.gov

Investor Alerts & Bulletins

The SEC's Office of Investor Education and Advocacy issues Investor Alerts & Bulletins as a service to investors. Investor Alerts typically warn investors about the latest investment frauds and scams. Investor Bulletins tend to educate investors about investment-related topics including the functions of the SEC.

Updated Investor Bulletin: Indexed Annuities
July 31, 2020
Tips for Teachers: Investing for Retirement -- Investor Bulletin
July 28, 2020
Broadly Advertised Investments – Investor Alert
July 14, 2020

More Investor Alerts & Bulletins

Ombudsman

The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC.

We Facilitate Capital Formation

FinHub

The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.

Small Business

Check out our new Small Biz site, with info to help companies that want to raise capital.

Public and Private Sector Experts Collaborate at Annual Forum
Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community.
Crowdfunding Offerings Data Sets
The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding

We Enforce Federal Securities Laws

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Enforcement Actions

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Proceeding
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Office of the Whistleblower

Submit a tip, learn about the program, or claim an award.

Latest Federal Court Actions

Litigation Releases

Adam Rogas, et. alSep 18, 2020
John GeraciSep 17, 2020
Steven J. SheinfeldSep 17, 2020
Scott Allen FriesSep 17, 2020
Estate of Richard Ventrilla and Cygnus Capital Management, LLCSep 16, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman LimitedSep 18, 2020
Keyport Venture Advisors LLC, et al.Sep 18, 2020
Loyal Source Market Services, et al.Sep 18, 2020
Crest Radius, et al.Sep 18, 2020
The Miix Group, IncorporatedSep 18, 2020

More Administrative Releases

We Regulate Securities Markets

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Tell us about your experience

Making Wall Street work for Main Street means getting your input. The U.S. Securities and Exchange Commission wants to hear from you! We want your input on proposed rules and want to know what information is important to you, the investor.

Credit Rating Agencies

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We Provide Data

Developer Resources

Check out updates on the SEC open data program, including best practices that make it more efficient to download data.

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Money Market Fund Statistics

Our Investment Management Analytics Office released an updated Money Market Fund Statistics report. The report reflects staff’s compilation and analysis of data reported to the Commission on Form N-MFP.

Latest Data Sets

Company Information About Active Broker-Dealers
This 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.
Updated Sept. 2020
Information About Registered Investment Advisers and Exempt Reporting Advisers
The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.
Updated Sept. 2020

More Data Sets

Office of Structured Disclosure

The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use.