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SEC Response to COVID-19

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

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.

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’s Staff Report on the Effects of the COVID-19 Economic Shock to U.S. Credit Markets

At an Oct. 14 roundtable SEC staff and panelists discussed a report on COVID-19's effects on U.S. credit markets. A webcast of the roundtable is available at SEC.gov.

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Expanding the Investor Pool for Growing Companies

The SEC recently expanded the accredited investor definition, increasing the pool of eligible investors for small and emerging companies.

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Proposals to Modernize Equity-Based Compensation (Rule 701 & Form S-8)

The SEC proposed changes to exempt offering Rule 701 and Form S-8, which are the primary methods through which companies issue equity compensation, that would change how and to whom equity compensation can be issued.

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Diversity and Inclusion at the SEC

Diversity and inclusion are important at the SEC. Our efforts to promote diversity, inclusion and opportunity include building and maintaining a diverse workforce, cultivating an inclusive work environment, and fostering diversity in our network of suppliers and in the regulated entities we oversee.

Latest News

SEC Charges Disbarred New York Attorney and Florida Attorney with Scheme to Create False Opinion Letters
Dec. 2, 2020
SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Dec. 1, 2020
SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
Dec. 1, 2020
SEC Awards Over $6 Million to Joint Whistleblowers
Dec. 1, 2020
SEC Issues Agenda for Dec. 1 Meeting of the Asset Management Advisory Committee
Nov. 25, 2020

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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.

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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.

Tips for World Investor Week 2020: Investor Bulletin
Oct. 5, 2020
Investment Scams May Seek to Exploit Natural Disasters – Investor Alert
Sept. 29, 2020
Investor Bulletin: Publicly Traded Closed-End Funds
Sept. 25, 2020

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.

Public and Private Sector Experts Collaborate at Annual Forum
Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community.
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

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Enforcement Actions

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Proceeding
Documents

Office of the Whistleblower

Submit a tip, learn about the program, or claim an award.

Latest Federal Court Actions

Litigation Releases

Mark Alan Lisser a/k/a Mark Alan a/k/a Mark AllenDec 1, 2020
Garrett M. O'Rourke and Michael J. BlackNov 30, 2020
Brothers Investment Group International, Inc. N/K/A Brothers International Group Inc., et al.Nov 30, 2020
Rumbaugh et alNov 24, 2020
Benja Inc., et al.Nov 23, 2020

More Litigation Releases

Latest Administrative Proceedings

Administrative Releases

BitClave PTE, Ltd.Dec 1, 2020
Craig RumbaughNov 24, 2020
Dougherty's Pharmacy, Inc.Nov 24, 2020
Genesis Financial, Inc.Nov 24, 2020
Zenergy Brands, Inc.Nov 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

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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.

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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

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 Dec. 2020
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 Dec. 2020

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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.