The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.
In this Office Hours, Chair Gensler explains why intermediaries for investment contracts are required to comply with securities laws and register with the U.S. Securities and Exchange Commission.
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We Enforce Federal Securities Laws
Latest Federal Court Actions
- Lufkin Advisors, LLC; Chauncey Forbush Lufkin IIISep 20, 2023
- Tilila Walker SumchaiSep 19, 2023
- Concord Management LLC and Michael MatlinSep 19, 2023
- Robert Del PreteSep 19, 2023
- Faiz M. Chowdhury, DTI Holdings, Inc., and Quantum Age CorporationSep 19, 2023
Latest Administrative Proceedings
- Faulding Inc. (n/k/a Alpharma Specialty Pharma)Sep 20, 2023
- Dragon Mining Corporation (a/k/a Dragon Diamond Corporation)Sep 20, 2023
- BlueStar Communications Group Inc.Sep 20, 2023
- Action Industries, Inc.Sep 20, 2023
- James Michael WinesSep 20, 2023
We Provide Data
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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.
- The data sets provide the text and detailed numeric information in all financial statements and their notes extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).Updated
- 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