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.
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
- Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.Sep 22, 2023
- Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael VargasSep 22, 2023
- J.H. Darbie & Co., Inc.Sep 22, 2023
- Jonathan BeckerSep 21, 2023
- Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLCSep 21, 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.
- 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
- 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).Updated