SEC.gov | HOME

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.

Company Name

Ticker or CIK

SEC Stories

The Two Hats of Wanda Williams

When Wanda Williams isn’t examining firms with her team at the SEC, she’s a brigadier general in charge of 13,000 soldiers in the U.S. Army Reserve.

Attention Entrepreneurs

The SEC is partnering with Morehouse College for an event focusing on access to capital for entrepreneurs of color on October 24.

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

SEC Halts Alleged $1.7 Billion Unregistered Digital Token Offering
Oct. 11, 2019
SEC Educational Videos Aim to Help Investors Spot and Avoid Fraud
Oct. 11, 2019
SEC Announces the Formation of Asset Management Advisory Committee
Oct. 9, 2019
Agencies Finalize Changes to Simplify Volcker Rule
Oct. 8, 2019
SEC Proposes to Require Proposed NMS Plan Fee Amendments to Follow Public Notice, Comment, and Approval Procedure
Oct. 1, 2019

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.

Don’t Buy Into an Investment Scam – Investor Alert
Oct. 10, 2019
Don’t Fall for an Investment Scam – Investor Alert
Oct. 10, 2019
Three Tips for World Investor Week 2019: Investor Bulletin
Oct. 1, 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

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

Richard Andrew MallionOct 11, 2019
Anton Senderov, et al.Oct 10, 2019
Thomas Conrad, Jr. et al.Oct 10, 2019
Lek Securities Corp., et al.Oct 10, 2019
Daniel Rivas, et al.Oct 10, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

UQM Technologies, Inc.Oct 11, 2019
John Busshaus, CPAOct 11, 2019
Bakken Resources, Inc., Ireland Inc. and Worlds Mall, Inc.Oct 11, 2019
Gray Financial Group, Inc., et al.Oct 10, 2019
Jeremy A. Licht d/b/a Jl Capital ManagementOct 10, 2019

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.

i 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

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 Oct. 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 Oct. 2019

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.