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SEC Response to COVID-19

For an overview of selected SEC response efforts to COVID-19, see here.

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

COVID-19 Quick Reference Guide for Investors and Market Participants

The SEC remains fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Here is a quick reference guide to actions taken by the SEC for various market participants.

Enforcement Senior Counsel Jamie Davidson (center) talks with some attendees during the Chicago Regional Office’s military outreach presentation at Naval Station Great Lakes, the Navy’s largest training installation.

Military Outreach Initiative

Members of the SEC’s Chicago office visited the Navy's largest training installation as part of a military outreach initiative announced last year by SEC Chairman Jay Clayton.

Featured Video

Capital Formation Proposal

The Office of the Advocate for Small Business Capital Formation provides an overview of the SEC’s proposed rule on facilitating capital formation and expanding investment opportunities by improving access to capital in private markets.

Spotlight On

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 Provides Temporary, Conditional Relief for Business Development Companies Making Investments in Small and Medium-sized Businesses
April 8, 2020
In Response to Self-Executing Congressional Mandates, SEC Adopts Offering Reforms for Business Development Companies and Registered Closed-End Funds
April 8, 2020
SEC Office of Compliance Inspections and Examinations Publishes Risk Alerts Providing Advance Information Regarding Inspections for Compliance with Regulation Best Interest and Form CRS
April 7, 2020
Cantor Fitzgerald Agrees to Pay $3.2 Million to Settle Charges for Providing Deficient Blue Sheet Data
April 6, 2020
SEC Awards Approximately $2 Million to Whistleblower
April 3, 2020

More News

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E-mail Updates

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.

Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account
March 4, 2020
Look Out for Coronavirus-Related Investment Scams - Investor Alert
Feb. 4, 2020
Initial Exchange Offerings (IEOs) – Investor Alert
Jan. 14, 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 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

Jeffrey D. Cordes et al.Apr 8, 2020
Douglas Leighton et al.Apr 8, 2020
International Investment Group, LLCApr 6, 2020
Patrick Muraca, NanoMolecularDX, LLC (a/k/a NMDX, LLC), and MetaboRX, LLCApr 3, 2020
Engler, et al.Apr 3, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Fortress Investment Management, LLC, William M. Malloy, IIIApr 8, 2020
Fortress Investment Management, LLC, William M. Malloy, IIIApr 8, 2020
Sica Wealth Management, LLC and Jeffrey C. SicaApr 8, 2020
Geoffrey J. ThompsonApr 7, 2020
Cantor Fitzgerald & Co.Apr 6, 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

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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

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 April 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 April 2020

More Data Sets

Office of Structured Disclosure

The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use.