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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

SEC Stories

Fraud on the Rise

Knowing that some people might be desperate to make up for income lost as a result of the pandemic, fraudsters are working overtime to target and try to steal your hard-earned money through securities fraud.

Small Business Cheat Sheet

If you run a small business, you’re probably pretty busy and could have missed the SEC’s recent changes to make raising capital more accessible and more efficient. So take a moment to catch up on the latest with this small business cheat sheet.

Featured Video

Proposals to Modernize Equity-Based Compensation (Rule 701 & Form S-8)

The SEC proposed changes to exempt offering Rule 701 and Form S-8, which are the primary methods through which companies issue equity compensation, that would change how and to whom equity compensation can be issued.

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Diversity and Inclusion at the SEC

Diversity and inclusion are important at the SEC. Our efforts to promote diversity, inclusion and opportunity include building and maintaining a diverse workforce, cultivating an inclusive work environment, and fostering diversity in our network of suppliers and in the regulated entities we oversee.

Latest News

What's Happening from Start-Up to Small Cap: SEC's Small Business Advocate to Host Capital Call Feb. 4
Jan. 15, 2021
SEC Awards Nearly $600,000 to Whistleblower
Jan. 14, 2021
SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors
Jan. 12, 2021
SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries
Jan. 8, 2021
SEC Issues Over $1.1 Million to Multiple Whistleblowers
Jan. 7, 2021

More News

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E-mail Updates

We Inform and Protect Investors

Protect Your Money!

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

Check Your
Investment
Professional

Learn more

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.

Investment Scam Complaints on the Rise – Investor Alert
Dec. 14, 2020
What You Need to Know About SPACs – Investor Bulletin
Dec. 10, 2020
Tips for World Investor Week 2020: Investor Bulletin
Oct. 5, 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

a Cyber
Enforcement Actions

o Administrative
Proceeding
Documents

Office of the Whistleblower

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

Latest Federal Court Actions

Litigation Releases

Abhi Batra a/k/a Abhimanyu BatraJan 19, 2021
Jacob C. GlickJan 19, 2021
Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc.Jan 19, 2021
City of Harvey, et al.Jan 14, 2021
Thomas V. Conwell and Kerry L. HoffmanJan 14, 2021

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Richard Portillo and CIS Marketing, LLCJan 19, 2021
Wireline, Inc.Jan 15, 2021
Wireline, Inc.Jan 15, 2021
Fortress Investment Management, LLC, William M. Malloy, IIIJan 14, 2021
Advanced Practice Advisors, LLC and Paul C. SpitzerJan 14, 2021

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

= SEC Proposed Rules

h View Final Rules

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.

View Developer Resources

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 Jan. 2021
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 Jan. 2021

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.