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SEC Response to COVID-19

See the overview of selected SEC response efforts to COVID-19.

FOCUSING ON MAIN STREET

The SEC’s focus on Main Street investors reflects the fact that American households own $29 trillion worth of equities — more than 58 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

SEC Stories

SEC Celebrates African American History Month

SEC officials and staff across the country are participating in events to celebrate African American History Month.

National Entrepreneurship Week 2021 graphic

SEC Celebrates National Entrepreneurship Week (Feb. 13-20)

Acting Chair Allison Herren Lee and SEC Small Business Advocate Martha Miller discuss the importance of entrepreneurship in a weeklong video series.

Featured Video

Sustainability and Support

In honor of National Entrepreneurship Week, SEC Acting Chair Allison Herren Lee and Martha Legg Miller, Director of the Office of the Advocate for Small Business Capital Formation, discuss how entrepreneurs are developing solutions to address sustainability

Spotlight On

Advanced Persistent Threat Compromise of Government Agencies, Critical Infrastructure, and Private Sector Organizations

As outlined in a joint statement issued by the FBI, CISA, and ODNI on 16 Dec, the US government has become aware of a significant and ongoing cybersecurity campaign. The SEC encourages broker-dealers, investment advisers, investment companies, exchanges, and other market participants to refer to the resources on the spotlight page.

Latest News

SEC Charges Gas Exploration and Production Company and Former CEO with Failing to Disclose Executive Perks
Feb. 24, 2021
SEC Charges Two Former KPMG Auditors for Improper Professional Conduct During Audit of Not-for-Profit College
Feb. 23, 2021
SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ
Feb. 23, 2021
SEC Awards Almost $3 Million Total in Separate Whistleblower Awards
Feb. 19, 2021
SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments
Feb. 16, 2021

More News

b Submit a Tip or
File a Complaint

E-mail Updates

We Inform and Protect Investors

Protect Your Money!

Check out an investment professional's registration status and background at Investor.gov.

Check Your
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.

Thinking About Investing in the Latest Hot Stock?
Jan. 30, 2021
Updated Investor Bulletin: Insider Transactions and Forms 3, 4, and 5
Jan. 26, 2021
How to Read an 8-K
Jan. 26, 2021

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.

Public and Private Sector Experts Collaborate at Annual Forum
Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community.
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

Bajic et al.Feb 24, 2021
Bruce Schoengood, Medifirst Solutions, Inc. and Joshua TyrellFeb 24, 2021
James T. BoothFeb 22, 2021
Coinseed, Inc. and Delgerdalai DavaasambuuFeb 17, 2021
Joseph CiminoFeb 17, 2021

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Craig A. ZabalaFeb 24, 2021
Gulfport Energy CorporationFeb 24, 2021
Michael G. MooreFeb 24, 2021
Covia Holdings Corp. and Fairmount Santrol Holdings Inc. Now Known as Bison Merger Sub I, LLCFeb 23, 2021
Jennifer M. Stewart, CPAFeb 23, 2021

More Administrative Releases

We Regulate Securities Markets

Tell us about your investor experience graphic

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.

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

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 Feb. 2021
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 Feb. 2021

More Data Sets

Office of Structured Disclosure

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