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 * SECURING FUTURES
   
   The SEC enforces the securities laws to protect the more than 66 million
   American households that have turned to the securities markets to invest in
   their futures—whether it’s starting a family, sending kids to college, saving
   for retirement or attaining other financial goals. 

We Inform and Protect Investors
We Facilitate Capital Formation
We Enforce Federal Securities Laws
We Regulate Securities Markets
We Provide Data
National Financial Capability Month

April is National Financial Capability Month. All month long, SEC leadership and
staff will promote free tools and resources available on Investor.gov and
participate in investor education events across the country.
OMWI After 10 Years

The SEC Historical Society and Howard University hosted a panel discussion
highlighting the SEC's Office of Minority and Women Inclusion's work over the
last decade.
See More


FEATURED VIDEO


OFFICE HOURS WITH GARY GENSLER: ORDER EXECUTION

The SEC proposed amendments that would update the disclosure required under Rule
605 of Regulation NMS for order executions in national market system stocks,
which are stocks listed on a national securities exchange. Chair Gensler
provides more details in his latest Office Hours. 

More Videos


SPOTLIGHT ON


42ND ANNUAL SMALL BUSINESS FORUM

The SEC's Small Business Office is hosting the annual Government-Business Forum
on Small Business Capital Formation, where members of the public and private
sectors gather to provide feedback to improve capital raising policy. Register
to participate at www.secsmallbusinessforum.com.

More Spotlight Topics
r Investor Alert

Read the SEC’s Investor Alert to protect yourself from phone messages, emails,
and letters that may falsely appear to be from the SEC.

b Submit a Tip or
File a Complaint


LATEST NEWS

 * SEC Reopens Comment Period for Proposed Amendments to Exchange Act Rule 3b-16
   and Provides Supplemental Information
   April 14, 2023
 * Registration Opens for the SEC’s 42nd Annual Small Business Forum to Impact
   Capital Raising Policy
   April 6, 2023
 * SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity,
   and Inclusion Initiatives and Progress
   April 4, 2023

More News


E-MAIL UPDATES

Sign up for emails that will deliver SEC News direct to your inbox.

E-mail Updates



WE INFORM AND PROTECT INVESTORS


PROTECT YOUR MONEY!

Check out an investment professional's registration status and background at
Investor.gov.

Check Your
Investment
Professional


LEARN MORE

 * 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.

 * Exercise Caution with Crypto Asset Securities: Investor Alert
   March 23, 2023
 * Updated Investor Bulletin: Leveraged and Inverse ETFs
   Feb. 23, 2023
 * Investor Alert: Self-Directed IRAs and the Risk of Fraud
   Feb. 7, 2023

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


2022 OASB ANNUAL REPORT

OASB has delivered its 2022 annual report to Congress and the Commission. The
report details how entrepreneurs and investors are building companies together
from startups to small public companies.


FINHUB

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

 * Terraform Labs PTE Ltd. and Do Hyeong KwonApr 13, 2023
 * Robert V.A. Harra, Jr., et al.Apr 11, 2023
 * Bobby Peavler and William Eric MeekApr 10, 2023
 * Matthew Nicosia, William Reininger, Fabrizio Di Carlo, and Ronald Touchard,
   Civ. ActionApr 5, 2023
 * Michael J. French, et al.Apr 4, 2023

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * Ashish DoleApr 14, 2023
 * Amin MajidiApr 14, 2023
 * Corvex Management LPApr 14, 2023
 * Jerome AustinApr 13, 2023
 * George A. Schmidt, Jr.Apr 13, 2023

More Administrative Releases


WE REGULATE SECURITIES MARKETS

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
proposals and other pertinent issues and topics. We 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

 * 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 April 2023
 * Financial Statement and Notes Data Sets
   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 March 2023

More Data Sets

SEC ENHANCES ACCESS TO FINANCIAL DISCLOSURE DATA

The SEC has released Application Programming Interfaces (APIs) that aggregate
financial statement data, making corporate disclosures quicker and easier for
developers and third-party services to use. APIs will allow developers to create
web or mobile apps that directly serve retail investors.

STAY CONNECTED
1 Twitter 2 Facebook 3RSS 4YouTube
6LinkedIn 8 Email Updates


ABOUT THE SEC

 * Budget & Performance
 * Careers
 * Commission Votes
 * Contact
 * Contracts
 * Data Resources


TRANSPARENCY

 * Accessibility & Disability
 * Diversity & Inclusion
 * FOIA
 * Inspector General
 * No FEAR Act & EEO Data
 * Ombudsman
 * Whistleblower Protection


WEBSITES

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 * Related Sites
 * USA.gov


SITE INFORMATION

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 * Site Map

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