FOCUSING ON MAIN STREET
The SEC’s focus on Main Street investors reflects the fact that American households own $38 trillion worth of equities — more than 59 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.
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
- Robert Del PreteSep 27, 2023
- Pedram Abraham Mehrian, Strategic Legacy Investment Group, Inc. and SLIG High-Interest Liquid Savings CompanySep 27, 2023
- Adam E. Levin; Rick BentleySep 27, 2023
- Charles Tralka, Thomas Braegelmann, Matthew Sullivan, Jordan Goodman, Good Steward Capital Management, Inc., and Robert L. BarrSep 27, 2023
- Hyzon Motors Inc., Craig M. Knight, and Max C.B. HolthausenSep 27, 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 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
- 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