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 * WE ARE THE INVESTOR'S ADVOCATE
   
   The SEC protects investors, promotes fairness in the securities markets, and
   shares information about companies and investment professionals to help
   investors make informed decisions and invest with confidence.

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


SEC STORIES

Office of the Investor Advocate Releases Annual Report


The report includes steps the Investor Advocate has taken to improve the
responsiveness of the SEC and SROs to investor concerns, as well as actions to
address those problems.
Chair Gary Gensler Talks SPACs


Chair Gary Gensler gave remarks on special purpose acquisition companies (SPACs)
at The Healthy Markets Association's annual conference.
More SEC Stories


FEATURED VIDEO


2021 AT THE U.S. SECURITIES AND EXCHANGE COMMISSION

We got some big things done in 2021, and we're rockin and rollin into 2022 with
a lot more to do!

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 Issues Awards Totaling More Than $40 Million to Four Whistleblowers
   Jan. 21, 2022
 * SEC Seeks Candidates for Investor Advisory Committee
   Jan. 19, 2022
 * SEC Issues Awards Totaling More Than $4 Million to Whistleblowers
   Jan. 10, 2022

More News


E-MAIL UPDATES

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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.

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.

 * Be on the Lookout for Investment Scams Related to Hurricane Ida
   Sept. 3, 2021
 * Digital Asset and “Crypto” Investment Scams – Investor Alert
   Sept. 1, 2021
 * Fraudsters Posing as Brokers or Investment Advisers – Investor Alert
   July 27, 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 2021
   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

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

 * David P. Forte, Gregory P. Manning and John D. YounisJan 19, 2022
 * Peter Baker, et al.Jan 19, 2022
 * Phillip W. Offill, Jr. and Justin W. HermanJan 19, 2022
 * Paul A. GarciaJan 18, 2022
 * Anthony M. Cottone, et al.Jan 14, 2022

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * Ivan AcevedoJan 19, 2022
 * Daniel J. SwinyarJan 18, 2022
 * Covia Holdings Corp. Fairmount Santrol Holdings Inc.Jan 13, 2022
 * Howard RichardsJan 13, 2022
 * CMG Capital Management Group, Inc.Jan 13, 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

 * 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 Jan. 2022
 * 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 Dec. 2021

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

 * Budget & Performance
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TRANSPARENCY

 * Accessibility & Disability
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 * Ombudsman
 * Whistleblower Protection


WEBSITES

 * Investor.gov
 * Related Sites
 * USA.gov


SITE INFORMATION

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 * Site Map

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