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SEC Response to COVID-19

For an overview of selected SEC response efforts to COVID-19, see here.

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

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SEC Stories

An Interactive Memorial Day Tribute

The SEC Veterans Committee presents an interactive Memorial Day tribute with SEC staff stories, online activities, and a special message from Chairman Jay Clayton.

COVID-19 Quick Reference Guide for Investors and Market Participants

The SEC remains fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Here is a quick reference guide to actions taken by the SEC for various market participants.

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Get the Full Report

The SEC’s Office of Investor Education and Advocacy's new public service campaign encourages investors to use the free tools and unbiased information on Investor.gov to check the background of an investment professional and to learn more about investing wise

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Regulation BI, Form CRS and Related Interpretations

Regulation Best Interest, Form CRS and Related Interpretations

The SEC adopted a package of new rules designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. These include new Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Investment Advisers Act of 1940.

Latest News

Insurance Company Settles SEC Charges for Failing to Disclose Executive Perks
June 4, 2020
SEC Awards Record Payout of Nearly $50 Million to Whistleblower
June 4, 2020
SEC Issues Agenda for June 1 Meeting of the Fixed Income Market Structure Advisory Committee
May 28, 2020
Unregistered $25.5 Million ICO Issuer to Return Money for Distribution to Investors
May 28, 2020
Private Equity Firm Ares Management LLC Charged With Compliance Failures
May 26, 2020

More News

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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.

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.

COVID-19 Related Early Withdrawals from Retirement Accounts—Be Careful of Fraudsters and other Bad Actors Targeting Your Retirement Savings
June 3, 2020
Frauds Targeting Main Street Investors -- Investor Alert
April 10, 2020
Investor Bulletin: Please Consider Adding a Trusted Contact to Your Account
March 4, 2020

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 at 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

Daniel F. Putnam, Jean Paul Ramirez Rico, Angel A. Rodriguez, MMT Distribution, LLC, R & D GlobalJun 5, 2020
Stiefel Laboratories Inc. and Charles W. StiefelJun 5, 2020
Tamara Steele and Steele Financial, Inc.Jun 5, 2020
Navellier & Associates, Inc., and Louis NavellierJun 4, 2020
E*Hedge Securities, Inc., et al.Jun 3, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Jana Faith Kiena, CPAJun 5, 2020
Douglas LeightonJun 5, 2020
Jeremy A. Licht d/b/a JL Capital ManagementJun 5, 2020
Fifth Street Management, LLCJun 5, 2020
Tamara SteeleJun 5, 2020

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 June 2020
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 June 2020

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.