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 * FOCUSING ON MAIN STREET
   
   The SEC’s focus on Main Street investors reflects the fact that American
   households own $38 trillion worth of equities — more than 59 percent of the
   U.S. equity market — either directly or indirectly through mutual funds,
   retirement accounts and other investments.

We Inform and Protect Investors
We Facilitate Capital Formation
We Enforce Federal Securities Laws
We Regulate Securities Markets
We Provide Data
Q&A with Former SEC African American Council Co-Chair

In celebration of Black History Month, the SEC is spotlighting Pamela Timus, a
former co-chair of its African American Council.
SEC Proposals Related to Market Structure

The Commission has proposed four separate rules related to market structure that
are now open for public comment.
See More


FEATURED VIDEO


OFFICE HOURS WITH GARY GENSLER: ORDER COMPETITION RULE

The SEC proposed a rule that would require certain orders of individual
investors to be exposed to competition in fair and open auctions before such
orders could be executed internally by any trading center that restricts
order-by-order competition.

More Videos


SPOTLIGHT ON


FINANCIAL READINESS FOR 2023

The SEC and U.S. Army held a discussion on how military members and their
families can improve their financial readiness and build wealth in 2023.
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 Files Emergency Action Against Miami Investment Adviser BKCoin and
   Principal Kevin Kang for Orchestrating $100 Million Crypto Fraud Scheme
   March 6, 2023
 * SEC Charges Silver Edge Financial and Equity Acquisition Company With
   Unregistered Broker-Dealer Activity Relating to Pre-IPO Funds
   March 3, 2023
 * SEC Charges Global Transportation Company Greenbrier and Former CEO for
   Failing to Disclose Perks and Payments
   March 2, 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.

 * Updated Investor Bulletin: Leveraged and Inverse ETFs
   Feb. 23, 2023
 * Investor Alert: Self-Directed IRAs and the Risk of Fraud
   Feb. 7, 2023
 * Trading Prohibitions on Foreign Companies Under the HFCAA: Updated Investor
   Bulletin
   Jan. 9, 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

 * BKCoin Management, LLC, et al.Mar 6, 2023
 * Adam S. Kaplan and Daniel E. KaplanMar 3, 2023
 * Kevin J. Kane and Sean M. KaneMar 2, 2023
 * Stephen Keith Woodard, Sr.Mar 1, 2023
 * Ryan R. RileyMar 1, 2023

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * Gustavo A. GuzmanMar 6, 2023
 * Flutter Entertainment and plc as successor-in-interest to The Stars Group,
   Inc.Mar 6, 2023
 * Todd J. PrinceMar 3, 2023
 * Richard KonopkaMar 3, 2023
 * Scott EspositoMar 3, 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

 * 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 March 2023
 * 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 Feb. 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

 * Investor.gov
 * Related Sites
 * USA.gov


SITE INFORMATION

 * Plain Writing
 * Privacy & Security
 * Site Map

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