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Small Business Capital Formation Advisory Committee Telephone Meeting | Wednesday, Dec 11, 11:00 am EST

CREATING JOBS

The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Last year $4.25 trillion was raised in public and private securities offerings, promoting economic growth and job creation.

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

Experts Discuss Markets, Economic Trends

The SEC brought together experts from government and the private sector to discuss the economic trends impacting our securities markets at the agency’s headquarters in Washington, D.C.

Atlanta’s Entrepreneurs Share their Stories and Expertise

SEC and Morehouse College co-hosted a first-of-its-kind event, featuring conversations with minority entrepreneurs and investors on overcoming barriers and sharing business successes.

Featured Video

Modernizing the Rule Governing Quotations for Over-the-Counter Securities (Rule 15c2-11)

The SEC proposed amendments to modernize the rule that broker-dealers must comply with before quoting securities in the over-the-counter market– or OTC market, including changes to increase the availability of information about over-the-counter companies.

Spotlight On

DERA Quarterly Economic and Risk Outlook Nov 2019

The Division of Economic Risk Analysis (DERA) has issued its inaugural quarterly report, which touches on a variety of topics such as macroeconomic indicators, monetary policy and interest rates, financial market signals, market segments and research on collateralized loan obligations.

Latest News

Former Congressman and Two Others Settle Insider Trading Charges
Dec. 9, 2019
Jefferies to Pay Nearly $4 Million for Improper Handling of ADRs
Dec. 9, 2019
SEC Obtains Touting and Fraud Judgment Against Colorado Cannabis Stock Promoter
Dec. 9, 2019
SEC Charges Multinational Telecommunications Company With FCPA Violations
Dec. 6, 2019
SEC Charges Trucking Executives With Accounting Fraud
Dec. 5, 2019

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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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Advance Fee Fraud
Exchange-Traded Funds (ETFs)
Form 10-K
Variable Annuities

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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.

Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert
Oct. 23, 2019
Don’t Buy Into an Investment Scam – Investor Alert
Oct. 10, 2019
Don’t Fall for an Investment Scam – Investor Alert
Oct. 10, 2019

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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

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Enforcement Actions

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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

Christopher Collins, et al.Dec 10, 2019
Harpreet GrewalDec 10, 2019
Diane D. Dalmy et al.Dec 9, 2019
Jeffrey O. Friedland, Global Corporate Strategies LLC., and Intiva Pharma, LLCDec 9, 2019
William Eric Meek and Bobby PeavlerDec 9, 2019

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Latest Administrative Proceedings

Administrative Releases

Kornitzer Capital Management, Inc. and John C. KornitzerDec 10, 2019
Jefferies LLCDec 9, 2019
Jatindar Kapur, CPADec 5, 2019
Warren Clamen, CPADec 5, 2019
Raymon Holmdahl, CPADec 4, 2019

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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 proposed rules and 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.

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

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 Dec. 2019
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 Dec. 2019

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Office of Structured Disclosure

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