• We are the Investor's Advocate
    WE ARE THE INVESTOR'S ADVOCATE

    The SEC protects investors, promotes fairness in the securities markets, and shares information about companies and investment professionals to help investors make informed decisions and invest with confidence.

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SEC Adopts Rules for Security-Based Swap Execution Facilities and Clearing Agencies
The Commission adopted new rules in November 2023 to increase transparency in certain areas of the markets.
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First-Ever Native American Woman to Lead a Law School Visits SEC for Native American Heritage Month
Stacy Leeds shared her experiences as a Cherokee woman attorney at an event for Native American Heritage Month.
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Featured Video

Office Hours with Gary Gensler: The SEC Investment Management Division Explained

Our Division of Investment Management is responsible for overseeing investment companies and investment advisers.They oversee 30,000 registered funds and advisers and 50,000 private funds, comprising more than $110 trillion. 

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Spotlight On

DEIA Strategic Plan for Fiscal Years 2023-2026

Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan

The SEC released its 2023-2026 Diversity, Equity, Inclusion, and Accessibility (DEIA) Strategic Plan, which builds on and advances our DEIA commitment and previous successes.
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We Inform and Protect Investors

Protect Your Money!

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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.

Latest Federal Court Actions

Litigation Releases

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    Latest Administrative Proceedings

    Administrative Releases

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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

      • 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
      • 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).
        Updated
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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.