U.S. SECURITIES AND
EXCHANGE COMMISSION
SEC Response to COVID-19
See the overview of selected SEC response efforts to COVID-19.
FOCUSING ON MAIN STREET
The SEC’s focus on Main Street investors reflects the fact that American households own $29 trillion worth of equities — more than 58 percent of the U.S. equity market — either directly or indirectly through mutual funds, retirement accounts and other investments.
WE INFORM AND PROTECT INVESTORS
WE FACILITATE CAPITAL FORMATION
WE ENFORCE FEDERAL SECURITIES LAWS
WE REGULATE SECURITIES MARKETS
WE PROVIDE DATA
SEC Stories
OMWI Highlights New Initiatives in FY 2020 Annual Report
The SEC's Office of Minority and Women Inclusion's latest annual report highlights new initiatives the agency has undertaken to promote diversity and inclusion in the SEC’s workforce and increase opportunities for minority-owned and women-owned businesses.
SEC’s New York Office Talks Hot Topics for Retail Investors
The SEC’s New York Regional Office and the Retail Strategy Task Force recently co-hosted a virtual forum for retail investors with Fordham Law School and Gabelli School of Business.
More SEC Stories
Featured Video
A Tactical Approach: 3 Tips for Your Financial Future
SEC Commissioner Caroline Crenshaw and SEC staff discuss steps service members can take to build wealth and avoid investment scams during their military service.
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Spotlight On
SEC Response to Climate and ESG Risks and Opportunities
As investor demand for climate and other environmental, social and governance (ESG) information soars, the SEC is responding with an all-agency approach. We’ve highlighted some of our recent actions.
More Spotlight Topics
Latest News
SEC Awards Approximately $3 Million to Two Whistleblowers
June 14, 2021
SEC Announces Annual Regulatory Agenda
June 11, 2021
SEC Charges Dentist-Turned-Investment Adviser for Three Separate Frauds
June 11, 2021
SEC Investor Advisory Committee to Meet Remotely On June 10
June 8, 2021
SEC Charges Couple With Insider Trading on Confidential Clinical Trial Data
June 7, 2021
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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.
Funds Trading in Bitcoin Futures – Investor Bulletin
June 10, 2021
Investor Bulletin: How to Open a Brokerage Account
June 10, 2021
Investor Bulletin: Understanding Margin Accounts
June 10, 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.
Public and Private Sector Experts Collaborate at Annual Forum
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
aCyber
Enforcement Actions
oAdministrative
Proceeding
Documents
Office of the Whistleblower
Submit a tip, learn about the program, or claim an award.
Latest Federal Court Actions
Litigation Releases
Edgar M. Radjabli, et. al.
Jun 11, 2021
Wellness Matrix Group, Inc. and George Todt
Jun 11, 2021
Cell>Point, LLC, Terry A. Colip, and Greg R. Colip
Jun 11, 2021
Luca International Group, LLC, et al.
Jun 10, 2021
Matthew O. Clason
Jun 9, 2021
More Litigation Releases
Latest Administrative Proceedings
Administrative Releases
First American Financial Corporation
Jun 14, 2021
Intervest International, Inc. and Craig L. Carson
Jun 14, 2021
Feltl Advisors, LLC
Jun 11, 2021
Bingqing Yang
Jun 11, 2021
David G. Martin
Jun 11, 2021
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 proposed rules and want to know what information is important to you, the investor.
 
Credit Rating Agencies
=SEC Proposed Rules
hView 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 June 2021
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 June 2021
More Data Sets
Office of Structured Disclosure
The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use.
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