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SEC Response to COVID-19

See the overview of selected SEC response efforts to COVID-19.

FOCUSING ON MAIN STREET

The SEC’s focus on Main Street investors reflects the fact that American households own $29 trillion worth of equities — more than 58 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

EDGAR Search company and individual filings.

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Ticker or CIK

SEC Stories

Avoiding Financial Scams - COVID-19 and Beyond: A Teletown Hall, July 22, 2020

Check Out This Atlanta Regional Office Virtual Event

Learn about potential scams during the COVID-19 pandemic and the most common tricks fraudsters use. This virtual event on July 22 is free and open to the public.

How To Understand the New Form CRS: picture of a couple examining information on a computer screen

Understanding the New Relationship Summary With Your Financial Professional

Investors have a new tool when choosing a financial professional. This relationship summary document, known as Form CRS, provides important information about services, fees, and much more in one convenient place.

Featured Video

Protecting Deaf, Hard-of-Hearing and Hearing Loss Communities from Investment Scams

This video shows how a fraud takes place from the point of view of a man from the deaf and hard or hearing community who was defrauded by someone they thought they could trust.

Spotlight On

Attention Teachers

As teachers prepare to go back to school, the SEC wants to make sure they’re also prepared to make informed investment decisions. Check out our page dedicated exclusively to educators and their financial success.

Latest News

SEC Charges Interactive Brokers With Repeatedly Failing to File Suspicious Activity Reports
Aug. 10, 2020
SEC Charges Consumer Loan Company With FCPA Violations
Aug. 6, 2020
SEC Charges Affiliated Advisers for Misrepresentations About Payment for Order Flow Arrangements
Aug. 5, 2020
SEC Provides Transparency to the Process of Nominating Candidates to the Investor Advisory Committee
Aug. 5, 2020
SEC Proposes to Improve the Retail Investor Experience through Modernized Fund Shareholder Reports and Disclosures
Aug. 5, 2020

More News

b Submit a Tip or
File a Complaint

E-mail Updates

We Inform and Protect Investors

Protect Your Money!

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

Check Your
Investment
Professional

Learn more

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.

Updated Investor Bulletin: Indexed Annuities
July 31, 2020
Tips for Teachers: Investing for Retirement -- Investor Bulletin
July 28, 2020
Broadly Advertised Investments – Investor Alert
July 14, 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.

Public and Private Sector Experts Collaborate at Annual Forum
Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community.
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

o Administrative
Proceeding
Documents

Office of the Whistleblower

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

Latest Federal Court Actions

Litigation Releases

Brendan M. RossAug 11, 2020
Vu Anh Nguyen, et al.Aug 11, 2020
Jack BrewerAug 6, 2020
Niel Martin NielsonAug 5, 2020
Victor Lee Farias and Integrity Aviation & Leasing, LLCAug 4, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Foundations Asset Management, LLC, Michael W. Shamburger and Rob E. WedelAug 11, 2020
Joshua TurneyAug 11, 2020
Hector PerezAug 11, 2020
Barbara DesiderioAug 11, 2020
Nicholas Mejia ScrivenerAug 10, 2020

More Administrative Releases

We Regulate Securities Markets

Tell us about your investor experience graphic

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

= SEC Proposed Rules

h View Final Rules

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 Aug. 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 Aug. 2020

More Data Sets

Office of Structured Disclosure

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