SEC Operational Status

Due to the ongoing federal government shutdown, the SEC is currently operating in accordance with the agency's plan for operating during a shutdown. Effective Thursday, Dec. 27 and until further notice, the agency will have a very limited number of staff members available.  The SEC has staff available to respond to emergency situations involving market integrity and investor protection, including law enforcement. Additional information is available here. In addition, our plan calls for the continuing operation of certain Commission systems, including EDGAR, and the Tips, Complaints, and Referrals (TCR) system. We plan to post any changes in operational status on this page. Additional information is available from the Division of Corporation Finance and the Division of Investment Management. See also the Commission’s January 16, 2019 order staying pending administrative proceedings.

Information for SEC Employees
The Office of Human Resources has compiled information that will be helpful to SEC employees during the partial government shutdown. The list will be updated as appropriate.  The information is available here.

Information for Contractors
The Office of Acquisitions has compiled a list of contracts that are required to support certain SEC functions during the federal government shutdown.  Performance of contracts not on this list must be suspended.  The list will be updated as appropriate.  More information is available here.

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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.

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Strategic Plan

SEC’s new strategic plan puts investors, innovation, and performance at the top. The plan’s goals reflect the agency’s commitment to its longstanding mission while leveraging the opportunities and addressing the challenges that come from fast-evolving markets, products and services.
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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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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.

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Check out our new Small Biz site, with info to help companies that want to raise capital.
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The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding exemption.

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