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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


SEC STORIES

Path to Public Service: Fireside Chat With U.S. Attorney Ryan Buchanan


The SEC hosted a fireside chat with U.S. Attorney Ryan Buchanan to learn more
about his background, his work at the U.S Department of Justice, and his
thoughts on topics relating to diversity, equity, and inclusion.
Achieving Career Goals at SEC: Fireside Chat with EXAMS Director Richard Best


The SEC’s African American Council hosted a fireside chat with new EXAMS
Director Richard Best about his background and career.
More SEC Stories


FEATURED VIDEO


CONVERSATIONS ON WOMEN'S FINANCIAL LITERACY: FINANCIAL BASICS 101

In this episode of The Exchange: Conversations on Women’s Financial Literacy, we
discuss the financial basics, including budgeting, salary negotiation and career
planning, as well as managing debt. 

More Videos


SPOTLIGHT ON


SEC SEEKS PUBLIC COMMENT ON DRAFT FY22-26 STRATEGIC PLAN

The SEC published a draft strategic plan for fiscal years 2022 to 2026 and is
seeking public comment on it. Please take a look, and provide your feedback.
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 Charges Perceptive Advisors for Failing to Disclose SPAC-Related
   Conflicts of Interest
   Sept. 6, 2022
 * SEC Charges Venture Capital Adviser Energy Innovation Capital Management for
   Overcharging Fees
   Sept. 2, 2022
 * SEC Charges Advisory Firm and Executives with Devising an Elaborate Scheme to
   Defraud Clients out of More Than $75 Million
   Aug. 30, 2022

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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.

 * Social Media and Investment Fraud – Investor Alert
   Aug. 29, 2022
 * Private Placements under Regulation D – Investor Bulletin
   Aug. 17, 2022
 * Trading Prohibitions on Foreign Companies Under the HFCAA: Investor Bulletin
   Aug. 3, 2022

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


CAPITAL RAISING

The Office of the Advocate for Small Business Capital Formation and the Division
of Corporation Finance’s Office of Small Business Policy launched an expanded
Capital Raising Hub, which includes all of the SEC’s small business educational
resources for entrepreneurs and their investors.


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

 * David PopeSep 2, 2022
 * Kris A. Swaffer, et. al.Sep 2, 2022
 * Archer Capital Management Group et al.Sep 1, 2022
 * Ramas Capital Management, LLC and Ganesh H. BetanabhatlaSep 1, 2022
 * Cronin and JosephSep 1, 2022

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * Perceptive Advisors LLCSep 6, 2022
 * ELECTROPREMIUMSep 6, 2022
 * Aventura Capital Management, LLCSep 6, 2022
 * Leon VaccarelliSep 2, 2022
 * Energy Innovation Capital Management, LLCSep 2, 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 Sept. 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 Aug. 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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