• 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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Enhancing the Treasury Market
The Commission has voted to propose rules designed to improve risk management and increase clearing of U.S. Treasury securities transactions.
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Q&A with HALO Co-Chair Juanita Hernandez
In honor of Hispanic Heritage Month, the SEC is spotlighting Juanita Hernandez, a member of the SEC’s Diversity Council and Co-Chair of the SEC’s Hispanic and Latino Opportunity, Leadership and Advocacy Committee.
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Featured Video

Conversations on Women's Financial Literacy: What is the Financial Literacy Gap?

In this episode of The Exchange: Conversations on Women’s Financial Literacy, we discuss the importance and notable difference in how women interact with finances.

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Spotlight On

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SEC Seeks Public Comment on Draft FY22-26 Strategic Plan

The SEC published a draft strategic plan for fiscal years 2022 to 2026 and is seeking public comment on it. Please take a look, and provide your feedback.
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r Investor Alert

Read the SEC’s Investor Alert to protect yourself from phone messages, emails, and letters that may falsely appear to be from the SEC.

b Submit a Tip or
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!

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Check Your
Investment
Professional

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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Capital Raising

The Office of the Advocate for Small Business Capital Formation and the Division of Corporation Finance’s Office of Small Business Policy launched an expanded Capital Raising Hub, which includes all of the SEC’s small business educational resources for entrepreneurs and their investors.
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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.

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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.