SEC Operational Status

In the event of a federal government shutdown, the SEC’s operating status will change concurrently with the rest of the federal government in accordance with the agency's plan for operating during a shutdown. As that plan contemplates, we are currently making preparations for a potential shutdown with a focus on the market integrity and investor protection components of our mission, as necessary to address imminent threats to life or property. Additional information is available from the Division of Corporation Finance.

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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.

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SEC Enhances Rule to Prevent Misleading or Deceptive Fund Names
The SEC adopted rule amendments to modernize and enhance the “Names Rule,” which addresses investment fund names that could mislead investors about a fund’s investments and risks.
Q&A with HALO Co-Chair
Q&A with HALO Co-Chair Kevin Guerrero
In honor of Hispanic Heritage Month, the SEC is spotlighting Kevin Guerrero, co-chair of the agency's Hispanic and Latino Opportunity, Leadership and Advocacy Committee (HALO).
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Featured Video

Office Hours with Gary Gensler: Crypto Platforms and Securities Laws

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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Report from the Small Business Forum Includes Recommendations to Improve Capital Raising

The SEC released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on Small Business Capital Formation.
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We Inform and Protect 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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Ombuds

The Ombuds will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombuds 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

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Capital Raising

The Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance’s Office of Small Business Policy launched an expanded Capital Raising Hub, which includes all of the SEC’s small business educational resources for entrepreneurs and their investors.
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FinHub

The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.
  • Building Blocks
    Explore the fundamentals of capital raising with the SEC's Office of the Advocate for Small Business Capital Formation.

We Enforce Federal Securities Laws

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Office of the Whistleblower

Submit a tip, learn about the program, or claim an award.

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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 proposals and other pertinent issues and topics. We 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.

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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

  • 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.
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  • Financial Statement and Notes Data Sets
    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).
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SEC Enhances Access to Financial Disclosure Data

The SEC has released Application Programming Interfaces (APIs) that aggregate financial statement data, making corporate disclosures quicker and easier for developers and third-party services to use. APIs will allow developers to create web or mobile apps that directly serve retail investors.