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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

Omaha Hosts SEC Annual Government Business Forum

Small Business Capital Formation in the Silicon Prairie and Beyond

The SEC held its annual government business forum in Omaha to hear directly from small business owners in an emerging entrepreneurial frontier becoming known as the “Silicon Prairie.”

Speaking With Main Street Investors in the Windy City

Chairman Jay Clayton recently hosted a roundtable in Chicago to help Main Street investors make informed decisions about their financial future.

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Comment on Ways to Harmonize the Exempt Offering Framework

The SEC requested comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections and to promote capital formation.

Spotlight On

Brokers and Advisers

When it comes to finding a financial professional that is right for you, it’s important that you understand the key features of the relationship so you can make the best decision. In these short videos, Chairman Jay Clayton explains the key differences between broker-dealers and investment advisers. He discusses the types of services each type of firm offers, how they are paid, and other things to consider in deciding whether to work with a financial professional.

Latest News

SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
Sept. 19, 2019
SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Sept. 18, 2019
SEC Halts Alleged $125 Million Offering Fraud
Sept. 18, 2019
SEC Proposes Rules to Update Statistical Disclosures for Banking Registrants
Sept. 17, 2019
Raymond James Agrees to Pay $15 Million for Improperly Charging Retail Investors
Sept. 17, 2019

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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
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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.

Don’t be Fooled by Fraudsters Offering “Charitable” Investments -- Investor Alert
Sept. 17, 2019
Investor Bulletin: Seven Ways to Use Investor.gov
Sept. 3, 2019
Investor Bulletin: Indexed Annuities
Aug. 13, 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

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

Brian Robert Sodi, et al.Sep 19, 2019
Ruben James RojasSep 19, 2019
ICOBox and Nikolay EvdokimovSep 19, 2019
Mediatrix Capital Inc., et al.Sep 18, 2019
Tom SimeoSep 17, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Sigma Planning Corp.Sep 19, 2019
Jay Daniel SeinfeldSep 19, 2019
Kevyn N. Rakowski, CPASep 19, 2019
Montebello Unified School District and Anthony James MartinezSep 19, 2019
Agritech Worldwide, Inc., Consolidated Gems, Inc. and Dominovas Energy CorporationSep 19, 2019

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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= SEC Proposed Rules

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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 Sept. 2019
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 Sept. 2019

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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.