• We are the Investor's Advocate
    WE ARE THE INVESTOR'S ADVOCATE

    The SEC protects investors, promotes fairness in the securities markets, and shares information about companies and investment professionals to help investors make informed decisions and invest with confidence.

SEC Stories

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Midwest Entrepreneurs Share Ideas with the SEC
In partnership with The Ohio State University’s National Center for the Middle Market, the SEC’s 37th Government-Business Forum on Small Business Capital Formation took place in Columbus, Ohio.
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SEC Hosts Municipal Securities Conference
The SEC’s Office of Municipal Securities (OMS) hosted the inaugural conference focused on municipal securities disclosure at its Washington, DC, headquarters.
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Be Aware Before You Share

Providing your phone number and email address in response to an online investment promotion may make you a target for fraud… for life.

Spotlight On

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Maintaining a Risk-Based Approach to Examinations

As the financial marketplace continues to evolve at a rapid pace, the Office of Compliance Inspections and Examinations (OCIE) remains dedicated to protecting investors and supporting registrants by maintaining a risk-based approach to examinations focused on improving compliance; preventing fraud; monitoring risk; and informing policy.
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E-mail Updates

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We Inform and Protect Investors

Protect Your Money!

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Investment
Professional

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.

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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

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Small Business

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

The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.

We Enforce Federal Securities Laws

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Enforcement Actions
o Administrative
Proceeding
Documents
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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

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Latest Administrative Proceedings

Administrative Releases

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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.

Recent Proposed Rules

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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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Latest Data Sets

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Data and Disclosure

Office of Structured Disclosure

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