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BUILDING COMMUNITIES

The SEC protects investors in the $3.8 trillion municipal securities markets that cities and towns rely on to provide neighborhood schools, local libraries and hospitals, public parks, safe drinking water and so much more.

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

EDGAR Company Filings - Free access to 21 million filings.

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SEC Stories

Omaha Hosts SEC Annual Government Business Forum

Small Business Capital Formation in the Silicon Prairie and Beyond

The SEC held its annual government business forum in Omaha to hear directly from small business owners in an emerging entrepreneurial frontier becoming known as the “Silicon Prairie.”

Speaking With Main Street Investors in the Windy City

Chairman Jay Clayton recently hosted a roundtable in Chicago to help Main Street investors make informed decisions about their financial future.

Featured Video

Comment on Ways to Harmonize the Exempt Offering Framework

The SEC requested comment on ways to simplify, harmonize, and improve the exempt offering framework to expand investment opportunities while maintaining appropriate investor protections and to promote capital formation.

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 PwC LLP With Violating Auditor Independence Rules and Engaging in Improper Professional Conduct
Sept. 23, 2019
SEC Charges Nissan, Former CEO, and Former Director with Fraudulently Concealing from Investors More than $140 Million of Compensation and Retirement Benefits
Sept. 23, 2019
SEC Adopts New Rules and Amendments under Title VII of Dodd-Frank
Sept. 19, 2019
SEC Charges ICO Incubator and Founder for Unregistered Offering and Unregistered Broker Activity
Sept. 18, 2019
SEC Halts Alleged $125 Million Offering Fraud
Sept. 18, 2019

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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
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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.

Watch Out for Scammers Posing as SEC Employees – Investor Alert
Sept. 19, 2019
Don’t be Fooled by Fraudsters Offering “Charitable” Investments -- Investor Alert
Sept. 17, 2019
Investor Bulletin: Seven Ways to Use Investor.gov
Sept. 3, 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

Christopher Fulco (a/k/a Christian Anthony, Johnathan Stewart, and Michael Barron), and JM Capital Holdings LLC, as Defendants, and Jamie Milione, as Relief DefendantSep 23, 2019
Jonathan C. LucasSep 23, 2019
Carlos Ghosn and Gregory L. KellySep 23, 2019
Zvi Feiner, et al.Sep 20, 2019
Earl D. Miller, et al.Sep 20, 2019

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

HCR Wealth AdvisorsSep 23, 2019
Tryon Alpha, Inc. and Tundra Resources, Inc.Sep 23, 2019
Sea Breeze Power Corp. and 1701 Productions, Inc.Sep 23, 2019
R-Tec Holding, Inc., RTR, Inc. and SCAPPLE Inc.Sep 23, 2019
Ezagoo Inc.Sep 23, 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

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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 Sept. 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 Sept. 2019

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Office of Structured Disclosure

The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use.