• 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

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.
Chairman Clayton, Dr. Gates, and Glenn Hutchins answer questions during SEC event
Scholar and Award-Winning Filmmaker Celebrates African American History Month at the SEC
The SEC welcomed Dr. Henry Louis Gates Jr. to discuss his new documentary series, “Reconstruction: America After the Civil War” at the agency’s headquarters in Washington, DC.
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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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We Inform and Protect Investors

Protect Your Money!

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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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Office of the Whistleblower

Submit a tip, learn about the program, or claim an award.

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Litigation Releases

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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.

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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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Office of Structured Disclosure

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