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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

Capital Call

The SEC's Office of the Advocate for Small Business Capital Formation is hosting their first ever Capital Call, where we'll talk about what’s happening with capital raising from startup to small cap. Join us on January 23, 2020.

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 State of Our Securities Markets: Current Global Macroeconomic Trends Affects Our Capital Markets

Chairman Jay Clayton, Former Director of the U.S. National Economic Council Gary Cohn, and Co-Founder of Silver Lake Partners Glenn Hutchins discussed global macroeconomic trends at DERA's State of Our Securities Markets Conference.

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 to Report on State of Small Business Capital Formation in the U.S.
Jan. 17, 2020
SEC Charges Convicted Criminal Who Conducted Fraudulent ICO Using a Fake Identity
Jan. 17, 2020
SEC Obtains Emergency Asset Freeze, Charges Businessman With Operating a Ponzi-Like Scheme
Jan. 14, 2020
Fee Rate Advisory #2 for Fiscal Year 2020
Jan. 9, 2020
SEC Issues Agenda for Inaugural Meeting of the Asset Management Advisory Committee
Jan. 9, 2020

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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.

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

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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

Daniel MarkelJan 17, 2020
Hill International, Inc. et al.Jan 17, 2020
Allan L. LundervoldJan 16, 2020
Drake et al., Messier et al., BrooksJan 16, 2020
Todays Growth Consultant Inc. and Kenneth D. Courtright, IIIJan 15, 2020

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Latest Administrative Proceedings

Administrative Releases

Signator Investors, Inc. and Gregory J. Mitchell; Cory D. WilliamsJan 17, 2020
Soupman, Inc. and Trailblazer Resources, Inc.Jan 17, 2020
Medical Innovation Holdings, Inc.Jan 17, 2020
Chad StarkeyJan 16, 2020
Great Basin Scientific, Inc.Jan 16, 2020

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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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

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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.