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SEC ALERTS

SEC’s 41st Annual Small Business Forum

The SEC’s 41st Annual Small Business Forum is now in progress!  For more
information and to join, please click here.

 * 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


SEC STORIES

Fireside Chat with Johns Hopkins Hospital’s First Female President


In honor of Women’s History Month, the SEC welcomed Dr. Redonda Miller, the
first female president of Johns Hopkins Hospital, for a virtual fireside chat.
Lunar New Year Brings Together Family, Food and Storytelling


The SEC’s Asian American and Pacific Islander Committee hosted a virtual Lunar
New Year Celebration featuring cultural storytelling and a brief history of the
holiday.
More SEC Stories


FEATURED VIDEO


OFFICE HOURS WITH GARY GENSLER: DARK POOLS, PAYMENT FOR ORDER FLOW & MARKET
STRUCTURE

In this latest Office Hours video, SEC Chair Gary Gensler talks dark pools,
payment for order flow and market structure.

More Videos


SPOTLIGHT ON


BUILDING BLOCKS

Explore the fundamentals of capital raising with the SEC's Office of the
Advocate for Small Business Capital Formation.
More Spotlight Topics
b Submit a Tip or
File a Complaint


LATEST NEWS

 * SEC Division of Examinations Announces 2022 Examination Priorities
   March 30, 2022
 * SEC Proposes Rules to Enhance Disclosure and Investor Protection Relating to
   Special Purpose Acquisition Companies, Shell Companies, and Projections
   March 30, 2022
 * SEC Charges Seven California Residents in Insider Trading Ring
   March 28, 2022

More News


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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.

 * Investor Bulletin: Crypto Asset Interest-bearing Accounts
   Feb. 14, 2022
 * Investor Bulletin: Fund Liquidation
   Dec. 17, 2021
 * Investor Bulletin: Trading Suspensions
   Dec. 14, 2021

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.
 * SEC's Virtual Small Business Forum 2022
   The SEC’S 41st annual Small Business Forum, where members of the public and
   private sectors gather to provide feedback to
 * 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

 * Dow Rockwell LLC and Richard Dow RockwellApr 1, 2022
 * Gregory Lemelson, Lemelson Capital Management, LLC, and The Amvona FundMar
   31, 2022
 * Richard G. DuncanMar 31, 2022
 * Chatfield PCS Ltd. et al.Mar 31, 2022
 * Hari Prasad Sure, et al., Civ. Act.Mar 29, 2022

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * Hanze Asia Growth AApr 4, 2022
 * Ronnie Lee Moss, Jr.Apr 1, 2022
 * Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPAMar
   31, 2022
 * Spruce Investment Advisors, LLCMar 30, 2022
 * Stephen Kenneth GrossmanMar 30, 2022

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 April 2022
 * 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 2022

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
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6LinkedIn 8 Email Updates


ABOUT THE SEC

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TRANSPARENCY

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