SEC rules help provide avenues for small businesses to raise capital efficiently from both public and private markets so they can create new jobs, develop life-changing innovations and technology, grow the economy and create opportunities for investors.
Happy 90th birthday to the Securities Act of 1933—the first of the securities laws. Ninety years later, the Securities and Exchange Commission is committed to investors and issuers alike and ensuring that the markets connecting them works for them.
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Check out an investment professional's registration status and background at 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.
We Facilitate Capital Formation
We Enforce Federal Securities Laws
Latest Federal Court Actions
- Auctus Fund Management, LLC, Louis Posner, and Alfred SollamiJun 1, 2023
- Marshall E. Melton and Integrated Consulting & Management, LLCJun 1, 2023
- Chimene Van Gundy, Outstanding Real Estate Solutions, Inc., Michael Trofimoff, Santos Kidd, and Maria TostaMay 31, 2023
- Engler, et al.May 30, 2023
- The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler OsternMay 26, 2023
Latest Administrative Proceedings
- Kathryn Jane Meredith, d/b/a KM Advisory ServicesJun 5, 2023
- Zeb Oro Explorations Inc.Jun 1, 2023
- Wisdom Homes of America, Inc.Jun 1, 2023
- Carl S. Schwartz CPAJun 1, 2023
- Carl S. SchwartzJun 1, 2023
We Regulate Securities Markets
We Provide Data
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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
- 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
- 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