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
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.
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.
SEC Commissioner Caroline Crenshaw and SEC staff discuss steps service members can take to build wealth and avoid investment scams during their military service.
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.
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We Inform and Protect Investors Check out an investment professional's registration status and background at 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.
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
The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology.
Check out our new Small Biz site, with info to help companies that want to raise capital.
Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community.
The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding
We Enforce Federal Securities Laws
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Latest Federal Court Actions
Latest Administrative Proceedings
We Regulate Securities Markets
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.
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
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
Updated June 2021
The SEC's Office of Structured Disclosure is working to make financial reports more accessible and easy to use.