FOCUSING ON MAIN STREET
The SEC’s focus on Main Street investors reflects the fact that American households own $38 trillion worth of equities — more than 59 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.
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
- Matthew M. Motil, et al.Oct 4, 2023
- Zera Financial LLCOct 3, 2023
- Shannon Westhead, et al.; ABFP Income Fund Parallel, LLC, et al.Oct 2, 2023
- Nano-x Imaging Ltd. and Ran PoliakineSep 29, 2023
- Christofer Shurian; Utah Regional Investment Fund LLC; CCS of Utah, Inc.Sep 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.
- 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
- 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