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Investor Advisory Committee Meeting | Feb 27, 9:30 am EST

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

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SEC Stories

SEC Celebrates African American History

Chairman Jay Clayton hosted the event, which featured Jack “Rusty” O’Kelley III of the search firm Russell Reynolds Associates and former U.S. Rep. Harold Ford Jr.

The Battle Against Cyber Criminals: The SEC Shares Its Insights

The SEC recently shared some of the best cybersecurity practices to help companies and other registrants protect your information.

Featured Video

A Tactical Approach: Three Tips for Your Financial Future

Three SEC military veterans share their financial tips for service members and their families.

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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

SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
Feb. 25, 2020
SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
Feb. 24, 2020
Wells Fargo to Pay $500 Million for Misleading Investors About the Success of Its Largest Business Unit
Feb. 21, 2020
ICO Issuer Settles SEC Registration Charges, Agrees to Return Funds and Register Tokens As Securities
Feb. 19, 2020
SEC Charges Global Alcohol Producer with Disclosure Failures
Feb. 19, 2020

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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
Professional

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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.

Look Out for Coronavirus-Related Investment Scams - Investor Alert
Feb. 4, 2020
Initial Exchange Offerings (IEOs) – Investor Alert
Jan. 14, 2020
Beware of Spoofed Websites Offering Phony Certificates of Deposit – Investor Alert
Oct. 23, 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

John D. Fierro and JDF Capital, Inc.Feb 26, 2020
Dionne Van ZylFeb 26, 2020
Kit Mun Chan, Lau Kean Chong, Chong Poui Fan, Binji Lu, and Youn Chien WongFeb 21, 2020
Emmanuel Kouyoumdjian (a/k/a "Manny K")Feb 20, 2020
Navellier & Associates, Inc., and Louis NavellierFeb 20, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

Brett PittsenbargarFeb 26, 2020
RSM US LLP (f/k/a/ Mcgladrey LLP)Feb 26, 2020
Thomas J. Craft, Jr.Feb 25, 2020
Charles F. KerwinFeb 24, 2020
Faiyaz DeanFeb 24, 2020

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.

Credit Rating Agencies

= SEC Proposed Rules

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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 Feb. 2020
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. 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.