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SMALL BUSINESSSEC 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.
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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.
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Latest Federal Court Actions
Litigation Releases
- Intrusion Inc.Sep 26, 2023
- Philip Verges, James D. Tilton, Jr., Robert F. Malin, Linda Malin, and Blue Citi, LLC, Defendants, and SMEA2Z, LLC, 143 Partners LLC, West Cucharras, LLC, and JDT Trading, LLC, Relief DefendantsSep 26, 2023
- The Diamond Desk Corporation; Adam J. LoweSep 26, 2023
- Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc.Sep 25, 2023
- Phoenix Outsourced Development, LLC, Edger Solutions Management, Michael McLaughlin, Derek McLaughlin, Louis Peter Goff, Eric Fairbourn, Brian Hubbard, Nicholas DelucaSep 25, 2023
Latest Administrative Proceedings
Administrative Releases
- Monica M. O’MealiaSep 26, 2023
- Brian Bartlett Amoah and Elbert “Al” ElliottSep 26, 2023
- Bruderman Asset Management, LLC, n/k/a Gary Goldberg Planning Services, LLC and Matthew J. BrudermanSep 26, 2023
- AssetMark, Inc.Sep 26, 2023
- Steven A. FernandezSep 26, 2023
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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
- 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