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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

California Supreme Court Justice Discusses Diversity Project With SEC Staff


California Supreme Court Justice Goodwin Liu discusses the Portrait Project with
SEC staff as part of Asian American, Native Hawaiian and Pacific Islander
Heritage Month.
Q&A with SEC’s Asian American and Pacific Islander Committee Co-Chair


In honor of Asian American, Native Hawaiian, and Pacific Islander Heritage Month
(AANHPI), Co-Chair of the SEC’s Asian American and Pacific Islander Committee
shares her story and insights on the celebration of AANHPI Month.
More SEC Stories


FEATURED VIDEO


OFFICE HOURS WITH GARY GENSLER: INVESTMENT PROFESSIONALS & INVESTOR PROTECTION

When you make decisions with other people’s money, there are going to be
conflicts of interest. Left unchecked, these conflicts might affect the quality
of the advice that you receive, and in turn, the financial future you have
worked so hard to build.

More Videos


SPOTLIGHT ON


ENFORCEMENT TASK FORCE FOCUSED ON CLIMATE AND ESG ISSUES

The Climate and ESG Task Force develops initiatives to proactively identify
ESG-related misconduct consistent with increased investor reliance on climate
and ESG-related disclosure and investment.
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 Proposes to Enhance Disclosures by Certain Investment Advisers and
   Investment Companies About ESG Investment Practices
   May 25, 2022
 * SEC Proposes Rule Changes to Prevent Misleading or Deceptive Fund Names
   May 25, 2022
 * SEC Halts Alleged Ongoing $39 Million Fraud by Hedge Fund Adviser
   May 25, 2022

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.

 * Investor Bulletin – Top 10 Investment Tips for College Students
   May 4, 2022
 * Investor Bulletin: Interested in Margin? Understand Interest.
   April 7, 2022
 * Investor Bulletin: Crypto Asset Interest-bearing Accounts
   Feb. 14, 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


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.
 * 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

 * Cornerstone Acquisition & Management Company LLC, Derren Lee Geiger, and She
   Hwea NgoMay 27, 2022
 * Andrew M, Middlebrooks, et alMay 25, 2022
 * Frank B. GlassnerMay 24, 2022
 * Wynn Charlebois et al.May 19, 2022
 * Sohrab ("Sam") Sharma, et al.May 19, 2022

More Litigation Releases


LATEST ADMINISTRATIVE PROCEEDINGS


ADMINISTRATIVE RELEASES

 * David Henry HansenMay 26, 2022
 * Securities America Advisors, Inc.May 26, 2022
 * Bankrate, Inc.May 25, 2022
 * RiverSource Distributors, Inc.May 25, 2022
 * Christopher Bauer, CPAMay 24, 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 May 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 May 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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