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SEC ALERTS

Happening Now

Investor Advisory Committee | Today, 10:00 am EST

 * CREATING JOBS
   
   The SEC’s regulation of the securities markets facilitates capital formation,
   which helps entrepreneurs start businesses and companies grow. Last year $5
   trillion was raised in public and private securities offerings, promoting
   economic growth and job creation. 

We Inform and Protect Investors
We Facilitate Capital Formation
We Enforce Federal Securities Laws
We Regulate Securities Markets
We Provide Data
Q&A with Susan Pecaro, SEC Women’s Committee

In honor of Women's History Month, the SEC is spotlighting Susan Pecaro, an
assistant director in the Division of Enforcement and member of the SEC's
Women's Committee.
SECGov X Account

The SEC continues to coordinate with law enforcement authorities regarding the
unauthorized access to its X account and is providing updates as appropriate on
its website.


FEATURED VIDEO


CLIMATE-RELATED DISCLOSURES AND THE SECURITIES AND EXCHANGE COMMISSION

What does climate risk have to do with the Securities and Exchange Commission?
Watch as Chair Gary Gensler describes the rules adopted by the Commission to
enhance and standardize climate-related disclosures by public companies and in
public offerings.

More Videos


SPOTLIGHT ON


STRATEGIC PLAN

Through the goals laid out in its Strategic Plan, the SEC will continue to bring
a skilled and steady hand to the capital markets of a changing world.
More Spotlight Topics
b Submit a Tip or
File a Complaint


LATEST NEWS

 * SEC Adopts Amendments to Enhance Disclosure of Order Execution Information
   March 6, 2024
 * SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for
   Investors
   March 6, 2024
 * SEC Charges Advisory Firm HG Vora for Disclosure Failures Ahead of Ryder
   Acquisition Bid
   March 1, 2024

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.

 * Brokered CDs: Investor Bulletin
   Nov. 30, 2023
 * Investor Resilience, Crypto Assets, and Sustainable Finance: World Investor
   Week 2023 — Investor Bulletin
   Sept. 29, 2023
 * Updated Investor Bulletin: An Introduction to ABLE Accounts
   Sept. 15, 2023

More Investor Alerts & Bulletins

OMBUDS

The Ombuds will listen to your inquiries, complaints, and issues, review the
information you provide, and help identify procedures, options, and resources.
The Ombuds 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.
 * Building Blocks
   Explore the fundamentals of capital raising with the SEC's Office of the
   Advocate for Small Business Capital Formation.


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

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

More Administrative Releases


WE REGULATE SECURITIES MARKETS

COMMENT ON SEC RULEMAKING

We want public input on proposals and other pertinent issues and topics related
to SEC rulemaking. We want to know what information is important to you, the
investor.
= SEC Proposed Rules
h View Final Rules
 Commission Votes


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 2024
 * 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 March 2024

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.

SOCIAL MEDIA
1 Twitter 2 Facebook 2 Instagram 3RSS 4YouTube
6LinkedIn 8 Email Updates


ABOUT THE SEC

 * Budget & Performance
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 * Data Resources


TRANSPARENCY

 * Accessibility & Disability
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 * Inspector General
 * No FEAR Act & EEO Data
 * Ombuds
 * Whistleblower Protection


WEBSITES

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 * Related Sites
 * USA.gov


SITE INFORMATION

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 * Site Map

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