SEC Response to Climate and ESG Risks and Opportunities

See the Response here.

SEC Response to COVID-19

See the overview of selected SEC response efforts to COVID-19.

  • Securing Futures
    SUPPORTING
    SMALL BUSINESS

    SEC rules help provide avenues for small businesses to raise capital efficiently from both public and private markets so they can create new jobs, develop life-changing innovations and technology, grow the economy and create opportunities for investors.

SEC Stories

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Raising Capital as a Tech Entrepreneur of Color
The SEC’s New York and San Francisco Regional Offices hosted a two-part interactive webcast exploring the experiences of tech entrepreneurs of color in New York and California when capital raising.
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Terms you need to know
Capital formation has its own unique jargon. To help companies and their investors navigate the often complex capital raising process, the Office of the Advocate for Small Business Capital Formation has curated a glossary of key terminology. Check it out.
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Featured Video

Chair Gary Gensler's Swearing-In

Gary Gensler was sworn in as the 33rd Chair of the U.S. Securities and Exchange Commission on April 17, 2021.

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Small Business Outreach

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Virtual Coffee Break

The SEC’s Office of the Advocate for Small Business Capital Formation is participating in a series of virtual coffee breaks to engage with the public to discuss updates, trends, and perspectives on how COVID-19 is impacting raising capital.
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E-mail Updates

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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

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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FinHub

The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.
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Small Business

Check out our new Small Biz site, with info to help companies that want to raise capital.

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 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

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    Data and Disclosure

    Office of Structured Disclosure

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