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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

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SEC Stories

Omaha Hosts SEC Annual Government Business Forum

Small Business Capital Formation in the Silicon Prairie and Beyond

The SEC held its annual government business forum in Omaha to hear directly from small business owners in an emerging entrepreneurial frontier becoming known as the “Silicon Prairie.”

Speaking With Main Street Investors in the Windy City

Chairman Jay Clayton recently hosted a roundtable in Chicago to help Main Street investors make informed decisions about their financial future.

Featured Video

How to Comment: Engage in the Rulemaking Process

The SEC’s Office of the Advocate for Small Business Capital Formation breaks down how easy it can be to comment on proposed rulemakings.

Spotlight On

Brokers and Advisers

When it comes to finding a financial professional that is right for you, it’s important that you understand the key features of the relationship so you can make the best decision. In these short videos, Chairman Jay Clayton explains the key differences between broker-dealers and investment advisers. He discusses the types of services each type of firm offers, how they are paid, and other things to consider in deciding whether to work with a financial professional.

Latest News

Two Broker-Dealers to Pay $4.65 Million in Penalties for Providing Deficient Blue Sheet Data
Sept. 16, 2019
SEC Charges Prudential Subsidiaries For Misleading Funds They Advised, Generating Tens of Millions in Tax Benefits for Prudential
Sept. 16, 2019
SEC Charges Silicon Valley-Based Issuer With Misleading Disclosure Violations
Sept. 16, 2019
SEC Proposes Transparency and Financial Accountability Amendments to the CAT NMS Plan
Sept. 9, 2019
SEC and CFTC Charge Options Clearing Corp. With Failing to Establish and Maintain Adequate Risk Management Policies
Sept. 4, 2019

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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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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.

Investor Bulletin: Seven Ways to Use Investor.gov
Sept. 3, 2019
Investor Bulletin: Indexed Annuities
Aug. 13, 2019
Saving and Investing for Military Personnel
July 18, 2019

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

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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

Dean Patrick McDermott, McDermott Investment Advisors, LLC and McDermott Investment Services, LLCSep 13, 2019
Northridge Holdings, Ltd. et al.Sep 13, 2019
Kevin B. Merrill, et al.Sep 13, 2019
Bio Defense Corporation, et al.Sep 13, 2019
Adam Mattessich and Joseph (a/k/a Jay) LudovicoSep 13, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Stifel and Nicolaus & Company, IncorporatedSep 16, 2019
BMO Capital Markets Corp.Sep 16, 2019
AST Investment Services, Inc. and PGIM Investments LCCSep 16, 2019
Marvell Technology Group, Ltd.Sep 16, 2019
Vandham Securities Corp.Sep 16, 2019

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.

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= SEC Proposed Rules

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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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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

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 Sept. 2019
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 Sept. 2019

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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.