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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

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

2019 Agency Financial Report

This SEC’s Financial Report is more than a typical government budget report, it’s an insight into the agency’s work on behalf of America’s investors across the country. If you’ve ever wanted to know more about the agency’s history, leadership, recent accomplishments, and strategic goals, check out Chairman Jay Clayton’s message and the story of the SEC.

Latest News

SEC Announces Conference on Macroeconomic and Structural Trends and Dynamics Affecting the Capital Markets
Nov. 20, 2019
SEC Halts Ponzi scheme Targeting Seniors and Small Business Owners
Nov. 19, 2019
SEC Awards Over $260,000 to Whistleblowers for Their Help in Spotting Securities Fraud
Nov. 15, 2019
Marie-Louise Huth Named Chief Counsel in Division of Economic and Risk Analysis
Nov. 13, 2019
SEC Wins Jury Trial in Layering, Manipulative Trading Case
Nov. 12, 2019

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E-mail Updates

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

Learn more

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

Samuel DelPresto, et al.Nov 21, 2019
Richard Lee, et al.Nov 21, 2019
Ruless Pierre a/k/a Rules PierreNov 21, 2019
Burkholz, et al.Nov 20, 2019
James S. KimmelNov 19, 2019

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Latest Administrative Proceedings

Administrative Releases

Renwick HaddowNov 22, 2019
UBS Financial Services Inc. of Puerto RicoNov 21, 2019
Edward Dean GossNov 21, 2019
Michal P. DunneNov 21, 2019
Dale Scott PearlmanNov 18, 2019

More Administrative Releases

We Regulate Securities Markets

The State of Our Securities Markets graphic

SEC Conference: The State of Our Securities Markets

The SEC will host a conference on Dec. 4 that will bring together current and former government officials and experts from different areas of the private sector to explore and discuss the ever-changing economic, risk and market environment and what those changes mean for the structure and function of the securities markets.

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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 Nov. 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 Nov. 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.