The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.
In this latest 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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Check out an investment professional's registration status and background at 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.
We Facilitate Capital Formation
We Enforce Federal Securities Laws
Latest Federal Court Actions
- The Hydrogen Technology Corporation, Michael Ross Kane, and Tyler OsternMay 26, 2023
- Francis SaboMay 26, 2023
- iFresh, Inc. and Long DengMay 25, 2023
- Eleazar Kauderer, GPL Ventures LLC, et al.May 24, 2023
- Integrated National Resources, Inc. dba WeedGenics, et al.May 23, 2023
Latest Administrative Proceedings
- Gartner, Inc.May 26, 2023
- Lucille Farms Inc.May 26, 2023
- Liquidation World, Inc. May 26, 2023
- Orion Financial, Ltd.May 26, 2023
- New You, Inc.May 26, 2023
We Regulate Securities Markets
We Provide Data
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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
- 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
- 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