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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
Improving Risk Management and Increasing Clearing in U.S. Treasuries

The SEC adopted rules to enhance risk management practices for central
counterparties in the U.S. Treasury market and facilitate additional clearing of
U.S. Treasury securities transactions.
SEC Enforcement Results for FY23

The SEC Enforcement Division had another productive year protecting the
investing public during fiscal year 2023, obtaining orders for nearly $5 billion
in financial remedies against wrongdoers.
See More


FEATURED VIDEO


OFFICE HOURS WITH GARY GENSLER: THE SEC TRADING AND MARKETS DIVISION EXPLAINED

The SEC's Division of Trading and Markets is responsible for overseeing
intermediaries within our markets—think exchanges, brokers, dealers,
clearinghouses, transfer agents, and self-regulatory organizations associated
with those intermediaries.  

More Videos


SPOTLIGHT ON


OFFICE OF THE ADVOCATE FOR SMALL BUSINESS CAPITAL FORMATION 2023 ANNUAL REPORT

The Office of the Advocate for Small Business Capital Formation delivered its
2023 annual report to Congress and the Commission. The report details how
entrepreneurs and investors are building companies together, from startups to
small public companies.
More Spotlight Topics
b Submit a Tip or
File a Complaint


LATEST NEWS

 * SEC Charges Tingo Mobile Founder, Three Companies with Massive Fraud and
   Obtains Emergency Relief
   Dec. 19, 2023
 * SEC Issues Staff Report on Accredited Investor Definition
   Dec. 15, 2023
 * SEC Small Business Advocacy Office Delivers Report to Congress on Capital
   Raising from Startups to Small Public Companies
   Dec. 14, 2023

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

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 Dec. 2023
 * 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 Nov. 2023

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
 * Careers
 * Commission Votes
 * Contact
 * Contracts
 * Data Resources


TRANSPARENCY

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


WEBSITES

 * Investor.gov
 * Related Sites
 * USA.gov


SITE INFORMATION

 * Plain Writing
 * Privacy & Security
 * Site Map

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