• Focusing on Main Street
    FOCUSING ON MAIN STREET

    The SEC’s focus on Main Street investors reflects the fact that American households own $38 trillion worth of equities — more than 59 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.

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SEC Proposals Related to Market Structure
The Commission has proposed four separate rules related to market structure that are now open for public comment.
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SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
The Commission has proposed a rule intended to prevent the sale of asset-backed securities tainted by material conflicts of interest.
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Featured Video

Office Hours with Gary Gensler: SEC's Best Execution Proposal

The SEC's proposed Regulation Best Execution, which would establish through Commission rules a best execution regulatory framework for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers. Our latst Office Hours explains more. 

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Spotlight On

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Financial Readiness for 2023

The SEC and U.S. Army held a discussion on how military members and their families can improve their financial readiness and build wealth in 2023.
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Read the SEC’s Investor Alert to protect yourself from phone messages, emails, and letters that may falsely appear to be from the SEC.

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File a Complaint

E-mail Updates

Sign up for emails that will deliver SEC News direct to your inbox.

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
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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.

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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

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2022 OASB Annual Report

OASB has delivered its 2022 annual report to Congress and the Commission. The report details how entrepreneurs and investors are building companies together from startups to small public companies.
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FinHub

The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.

We Enforce Federal Securities Laws

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Enforcement Actions
o Administrative
Proceeding
Documents
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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

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    Latest Administrative Proceedings

    Administrative Releases

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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 proposals and other pertinent issues and topics. We want to know what information is important to you, the investor.
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    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

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    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
    • Financial Statement and Notes Data Sets
      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
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    SEC Enhances Access to Financial Disclosure Data

    The SEC has released Application Programming Interfaces (APIs) that aggregate financial statement data, making corporate disclosures quicker and easier for developers and third-party services to use. APIs will allow developers to create web or mobile apps that directly serve retail investors.