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.
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.
Sign up for emails that will deliver SEC News direct to your inbox.
We Enforce Federal Securities Laws
Latest Federal Court Actions
- Stephen L. Bailey, Sapphire Exploration LLC, and Harris Exploration Inc.Sep 25, 2023
- Phoenix Outsourced Development, LLC, Edger Solutions Management, Michael McLaughlin, Derek McLaughlin, Louis Peter Goff, Eric Fairbourn, Brian Hubbard, Nicholas DelucaSep 25, 2023
- Douglas MacWright and Highlander Capital Management, LLCSep 25, 2023
- Vista Financial Advisors LLC, et al.Sep 25, 2023
- Michael CaridiSep 25, 2023
Latest Administrative Proceedings
- Kiwa Bio-Tech Products Group CorporationSep 26, 2023
- Baxter International Inc.Sep 25, 2023
- Fieldman Rolapp & Associates, Inc. and Anna SarabianSep 25, 2023
- Neuropathix, Inc.Sep 25, 2023
- Lux Amber, Corp.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