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SEC Response to COVID-19

See the overview of selected SEC response efforts to COVID-19.

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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

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SEC Stories

Public and Private Sector Experts Collaborate at Annual Forum

Check out the event highlights, including spotlight discussions featuring women-owned, minority-owned, rural and other small businesses and investors, as well as keynote addresses from well-known leaders in the entrepreneurial community.

Two people carrying a rainbow Pride flag

SEC Celebrates Pride Month

The SEC’s LGBT Committee and Office of Minority and Women Inclusion organized several virtual events for agency staff to learn about the positive impact of diversity and inclusion in the workplace.

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Get the Full Report

The SEC’s Office of Investor Education and Advocacy's new public service campaign encourages investors to use the free tools and unbiased information on Investor.gov to check the background of an investment professional and to learn more about investing wise

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Regulation BI, Form CRS and Related Interpretations

Regulation Best Interest, Form CRS and Related Interpretations

The SEC adopted a package of new rules designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. These include new Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Investment Advisers Act of 1940.

Latest News

SEC Issues $3.8 Million Whistleblower Award
July 14, 2020
SEC Charges Wind Turbine Company and Individuals With Defrauding Investors
July 14, 2020
SEC Charges App Developer for Unregistered Security-Based Swap Transactions
July 13, 2020
SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today’s Equities Markets
July 10, 2020
SEC Issues Agenda for July 16 Special Meeting of the Asset Management Advisory Committee
July 8, 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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Investment
Professional

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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.

Broadly Advertised Investments – Investor Alert
July 14, 2020
COVID-19 Related Early Withdrawals from Retirement Accounts—Be Careful of Fraudsters and other Bad Actors Targeting Your Retirement Savings
June 3, 2020
Frauds Targeting Main Street Investors -- Investor Alert
April 10, 2020

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 at 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

Thunderbird Power Corp., et al.Jul 14, 2020
Benjamin Alderson, et al.Jul 10, 2020
Luke C. Zouvas et al.Jul 7, 2020
Smith, et al.Jul 7, 2020
Sims, et alJul 6, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Paul J. KonigsbergJul 15, 2020
Abetterfinancialplan.Com, LLC, d/b/a a Better Financial Plan and Dean J. VagnozziJul 14, 2020
Temenos Advisory, Inc.Jul 14, 2020
George L. TaylorJul 14, 2020
World Moto, Inc.Jul 14, 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.

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

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 July 2020
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 July 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.