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SMALL BUSINESS

SEC rules help provide avenues for small businesses to raise capital efficiently from both public and private markets so they can create new jobs, develop life-changing innovations and technology, grow the economy and create opportunities for investors.

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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SEC Stories

Capital Call

The SEC's Office of the Advocate for Small Business Capital Formation hosted their first ever Capital Call, where they talked about what’s happening with capital raising from startup to small cap.

Experts Discuss Markets, Economic Trends

The SEC brought together experts from government and the private sector to discuss the economic trends impacting our securities markets at the agency’s headquarters in Washington, D.C.

Featured Video

The Too-Good-to-be-True Circus

The SEC’s Office of Investor Education and Advocacy and Retail Strategy Task Force released educational videos to help show what fraud looks like.

Spotlight On

DERA Quarterly Economic and Risk Outlook Nov 2019

The Division of Economic Risk Analysis (DERA) has issued its inaugural quarterly report, which touches on a variety of topics such as macroeconomic indicators, monetary policy and interest rates, financial market signals, market segments and research on collateralized loan obligations.

Latest News

SEC Issues Agenda for February 4 Meeting of Small Business Capital Formation Advisory Committee
Jan. 28, 2020
SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
Jan. 27, 2020
SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
Jan. 27, 2020
SEC Publishes Annual Reports on Credit Rating Agencies
Jan. 24, 2020
SEC Charges Husband and Wife with Nearly $1 Billion Ponzi Scheme
Jan. 24, 2020

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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.

Initial Exchange Offerings (IEOs) – Investor Alert
Jan. 14, 2020
Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert
Oct. 23, 2019
Don’t Buy Into an Investment Scam – Investor Alert
Oct. 10, 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

Edward E. MatthesJan 28, 2020
David Aubel and Robert RaffaJan 27, 2020
Jeffrey P. Carpoff and Paulette CarpoffJan 24, 2020
Sergii "Sergey" Grybniak, Opporty International, Inc., and Clever Solution Inc.Jan 21, 2020
Guy Scott Griffithe, Robert William Russell, Renewable Technologies Solution, Inc., Green Acres Pharms, LLC, and SMRB, Defendants, and Sonja Marie Russell, Relief DefendantJan 21, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Erik RhodesJan 28, 2020
Gary R. SmithJan 28, 2020
Steven M. Des Champs, CPAJan 27, 2020
Catalyst Capital Advisors, LLC and Jerry SzilagyiJan 27, 2020
Aaron R. AndrewJan 27, 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.

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 Jan. 2020
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 Jan. 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.