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Happening Now

A Conversation on Financial Readiness with SEC Chairman Jay Clayton and COL James J. Tuite, IV (US Army) | Today, 10:30 am - 11:30 am EST

Happening Now

Small Business Capital Formation Advisory Committee | Today, 9:30 am - 3:30 pm EST

SEC Monitoring Wildfires in California

The SEC is closely monitoring the wildfires in California and stands ready to help ensure investor access to their securities accounts, provide extensions to filing or other regulatory deadlines, and to keep a watchful eye for fire-related scams.

SECURING FUTURES

The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial goals.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

EDGAR Search company and individual filings.

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SEC Stories

First Generation Professionals featured graphic

SEC Hosts First Generation Professionals Workshop

The SEC hosted an inter-agency workshop to provide resources and support for First Generation Professionals.

Chairman Jay Clayton and the Office of Public Affairs’ Kevin Callahan (left) and John Nester are surrounded by a mountain of meals – 6 tons, total – in the bountiful Feds Feed Families collection room.

Feds Feed Families 2019

The SEC recently finished this year’s Feds Feed Families campaign, putting about 65,117 meals on the table for our neighbors. Enjoy the photos and read fun facts about our donations.

Featured Video

The Too-Good-to-be-True Circus

The SEC’s Office of Investor Education and Advocacy and Retail Strategy Task Force released educational videos to help show what fraud looks like.

Spotlight On

Brokers and Advisers

When it comes to finding a financial professional that is right for you, it’s important that you understand the key features of the relationship so you can make the best decision. In these short videos, Chairman Jay Clayton explains the key differences between broker-dealers and investment advisers. He discusses the types of services each type of firm offers, how they are paid, and other things to consider in deciding whether to work with a financial professional.

Latest News

SEC Charges Adviser for Running Ponzi Scheme Targeting Haitian Community
Nov. 6, 2019
SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2019
Nov. 6, 2019
SEC Proposes Amendments to Modernize Shareholder Proposal Rule
Nov. 5, 2019
SEC Proposes Rule Amendments to Improve Accuracy and Transparency of Proxy Voting Advice
Nov. 5, 2019
SEC Proposes to Modernize the Advertising and Cash Solicitation Rules for Investment Advisers
Nov. 4, 2019

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.

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

KRM Services, LLC and Roberto J. Clark, Jr.Nov 8, 2019
Michael A. Gramins, et al.Nov 7, 2019
Bolton Securities Corporation d/b/a Bolton Global Asset ManagementNov 6, 2019
David N. Osegueda, et al.Nov 6, 2019
Collector's Coffee (d/b/a Collectors Café), and Mykalai KontilaiNov 4, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Chet InglisNov 8, 2019
Morgan Stanley Smith Barney LLCNov 7, 2019
David Pruitt, CPANov 7, 2019
American Rare Earths and Materials, Corp., et al.Nov 7, 2019
NXChain, et al.Nov 6, 2019

More Administrative Releases

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 proposed rules and want to know what information is important to you, the investor.

i 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

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

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.