The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Last year $5 trillion was raised in public and private securities offerings, promoting economic growth and job creation.
In this Office Hours, Chair Gensler explains why intermediaries for investment contracts are required to comply with securities laws and register with the U.S. Securities and Exchange Commission.
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We Enforce Federal Securities Laws
Latest Federal Court Actions
- Michael CaridiSep 25, 2023
- Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.Sep 22, 2023
- Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael VargasSep 22, 2023
- J.H. Darbie & Co., Inc.Sep 22, 2023
- Jonathan BeckerSep 21, 2023
Latest Administrative Proceedings
- Michael D. Messina, CPASep 25, 2023
- David C. PowellSep 25, 2023
- GTT Communications, Inc.Sep 25, 2023
- Health Insurance Innovations, Inc., Now Named Benefytt Technologies, Inc. and Gavin D. SouthwellSep 25, 2023
- Wellesley Asset Management, Inc.Sep 25, 2023
We Provide Data
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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.
- 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
- The data sets provide the text and detailed numeric information in all financial statements and their notes extracted from exhibits to corporate financial reports filed with the Commission using eXtensible Business Reporting Language (XBRL).Updated