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2019 Compliance Outreach Program for Municipal Advisors | May 21, 8:30 am Pacific Time, 11:30 Eastern Time

  • Securing Futures
    SECURING FUTURES

    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. 

SEC Stories

Dr. Rebecca Erbelding
Holocaust Remembrance Day
The SEC held its Second Annual Holocaust Remembrance Day program to honor the memory of those who were systematically murdered by Nazi forces as well as the relatively few who survived to bear witness about this horrific genocide. Sponsored by the SEC’s Jewish American Heritage Book Club, this year’s theme was “The Holocaust – How the U.S. Responded” and featured a keynote address by Dr. Rebecca Erbelding.
Martha Miller talking to to small business owners and entrepreneurs in Kansas City.
SEC’s Small Business Advocate Meets Midwest Entrepreneurs
The newly established Office of the Advocate for Small Business Capital Formation is open and ready to hear from America’s small businesses.
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Investor.gov: Good Questions

Have questions about investing? Investor.gov has answers. Explore our free tools, tips, and resources.

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Tips for Main Street Investors from Chairman Jay Clayton

Chairman Jay Clayton and his SEC colleagues have spent the past two years traveling around the country asking Main Street investors to “Tell Us” about their investment experiences. He is often asked, “What are your tips for investing?” In these videos, Chairman Clayton shares his personal notes on investing. Check back here for more tips from Chairman Clayton in the coming weeks.
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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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FinHub

The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.
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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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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.
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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.

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Office of Structured Disclosure

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