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SMALL BUSINESS

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.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

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SEC Stories

SEC Honors Veterans and Service Members for Veterans Day

The SEC honored the service and sacrifice of veterans and current service members of the U.S. military in observance of Veterans Day.

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

SEC Charges Multinational Telecommunications Company With FCPA Violations
Dec. 6, 2019
SEC Charges Trucking Executives With Accounting Fraud
Dec. 5, 2019
SEC Releases Report on 38th Annual Small Business Forum
Dec. 5, 2019
SEC Charges Iconix Brand Group and Former Top Executives With Accounting Fraud
Dec. 5, 2019
SEC Issues Agenda for Dec. 11 Meeting of Small Business Capital Formation Advisory Committee
Dec. 4, 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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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.

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

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

Iconix Brand Group, Inc., Neil R. Cole and Seth HorowitzDec 5, 2019
Lester BurroughsDec 5, 2019
SBB Research Group LLC, et al.Dec 4, 2019
NIT Enterprises, Inc., et al.Nov 29, 2019
MiMedx Group, Inc., Parker H. Petit, William C. Taylor, and Michael J. SenkenNov 26, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Jatindar Kapur, CPADec 5, 2019
Warren Clamen, CPADec 5, 2019
Raymon Holmdahl, CPADec 4, 2019
Bethany LiouDec 2, 2019
Cynthia Holder, CPANov 29, 2019

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.

i Credit Rating Agencies

= SEC Proposed Rules

h View Final Rules

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.