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Asset Management Advisory Committee | May 27, 9:00 am EDT

SEC Response to COVID-19

For an overview of selected SEC response efforts to COVID-19, see here.

CREATING JOBS

The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Last year $4.25 trillion was raised in public and private securities offerings, promoting economic growth and job creation.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

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SEC Stories

An Interactive Memorial Day Tribute

The SEC Veterans Committee presents an interactive Memorial Day tribute with SEC staff stories, online activities, and a special message from Chairman Jay Clayton.

COVID-19 Quick Reference Guide for Investors and Market Participants

The SEC remains fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Here is a quick reference guide to actions taken by the SEC for various market participants.

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Get the Full Report

The SEC’s Office of Investor Education and Advocacy's new public service campaign encourages investors to use the free tools and unbiased information on Investor.gov to check the background of an investment professional and to learn more about investing wise

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Regulation BI, Form CRS and Related Interpretations

Regulation Best Interest, Form CRS and Related Interpretations

The SEC adopted a package of new rules designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. These include new Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Investment Advisers Act of 1940.

Latest News

Private Equity Firm Ares Management LLC Charged With Compliance Failures
May 26, 2020
SEC Charges Owner of Film Distribution Company with Defrauding Publicly Traded Fund
May 22, 2020
SEC Announces Virtual Conference on Municipal Securities Disclosure
May 22, 2020
SEC Shuts Down Fraudulent Investment Adviser Targeting Senior Citizens
May 22, 2020
SEC Issues Agenda for May 27 Meeting of the Asset Management Advisory Committee
May 21, 2020

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We Inform and Protect Investors

Protect Your Money!

Check out an investment professional's registration status and background at Investor.gov.

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Investment
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Advance Fee Fraud
Exchange-Traded Funds (ETFs)
Form 10-K
Variable Annuities

Before you invest, 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.

Frauds Targeting Main Street Investors -- Investor Alert
April 10, 2020
Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account
March 4, 2020
Look Out for Coronavirus-Related Investment Scams - Investor Alert
Feb. 4, 2020

More Investor Alerts & Bulletins

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

FinHub

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

Small Business

Check out our new Small Biz site, with info to help companies that want to raise capital.

Remarks to the 38th Government-Business Forum on Small Business Capital Formation
Chairman Jay Clayton’s remarks at the event, held in Omaha, Nebraska, highlighted small businesses raising capital.
Crowdfunding Offerings Data Sets
The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding

We Enforce Federal Securities Laws

a Cyber
Enforcement Actions

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Proceeding
Documents

Office of the Whistleblower

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

Latest Federal Court Actions

Litigation Releases

William SadleirMay 26, 2020
Cash Capital, LLC, America's Strategic Ore Properties, and Robert W. WilsonMay 26, 2020
Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLCMay 22, 2020
Paul Russell Montgomery, Jr., Michael David Fisher, James Hurst WillinghamMay 18, 2020
Turbo Global Partners, Inc. and Robert W. SingermanMay 14, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Robert C. Weaver, Jr., Esq.May 26, 2020
Ares Management LLCMay 26, 2020
William Andrew HightowerMay 26, 2020
Robert GilbertMay 22, 2020
Paul EwerMay 22, 2020

More Administrative Releases

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.

Credit Rating Agencies

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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.

View Developer Resources

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

Company Information About Active Broker-Dealers
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 May 2020
Information About Registered Investment Advisers and Exempt Reporting Advisers
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 May 2020

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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.