In the event of a federal government shutdown, the SEC’s operating status will change concurrently with the rest of the federal government in accordance with the agency's plan for operating during a shutdown. As that plan contemplates, we are currently making preparations for a potential shutdown with a focus on the market integrity and investor protection components of our mission, as necessary to address imminent threats to life or property. Additional information is available from the Division of Corporation Finance.
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.
In this Office Hours, Chair Gensler explains why intermediaries for investment contracts are required to comply with securities laws and register with the U.S. Securities and Exchange Commission.
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We Enforce Federal Securities Laws
Latest Federal Court Actions
- Nano-x Imaging Ltd. and Ran PoliakineSep 29, 2023
- Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.Sep 29, 2023
- Steven J. Jacobson; Advisor Resource CouncilSep 29, 2023
- Stephone N. Patton, Star Oil and Gas Company, Inc., et al.Sep 29, 2023
- Adam R. Long; L2 Capital, LLC; Oasis Capital LLCSep 29, 2023
Latest Administrative Proceedings
- Douglas MacWrightSep 29, 2023
- Jonathan J. FerrieSep 29, 2023
- Appomattox Advisory Inc. and Oscar Gustavo Gil VollmerSep 29, 2023
- D. E. Shaw & Co, L.P.Sep 29, 2023
- Florence Capital Advisors, LLC and Gregory A. HerschSep 29, 2023
We Provide Data
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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.
- 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
- The data sets provide the text and detailed numeric information in all financial statements and their notes extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).Updated