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sec gov home skip to main content search sec gov company filings u s securities and exchange commission q about careers commissioners contact reports and publications securities laws mission divisions offices corporation finance enforcement investment management economic and risk analysis trading and markets office of administrative law judges examinations regional offices enforcement litigation releases administrative proceedings opinions and adjudicatory orders accounting and auditing trading suspensions how investigations work receiverships information for harmed investors regulation rulemaking activity proposed rules final rules interim final temporary rules other orders and notices self regulatory organizations staff interpretations education investor education glossaries small business capital raising filings edgar search access edgar information for filers company filing search how to search edgar forms list about edgar news press releases speeches and statements securities topics upcoming events webcasts sec in the news sec videos media gallery 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 enhances rule to prevent misleading or deceptive fund names the sec adopted rule amendments to modernize and enhance the names rule which addresses investment fund names that could mislead investors about a fund s investments and risks sec approves private fund adviser reforms the sec adopted new rules and amendments designed to protect private fund investors by increasing transparency competition and efficiency in the private funds market see more featured video office hours with gary gensler crypto platforms and securities laws in this office hours chair gensler explains why intermediaries for investment contracts are required to comply with securities laws and register with the u s securities and exchange commission more videos spotlight on diversity equity inclusion and accessibility deia strategic plan the sec released its 2023 2026 diversity equity inclusion and accessibility deia strategic plan which builds on and advances our deia commitment and previous successes more spotlight topics b submit a tip or file a complaint latest news sec charges private equity fund adviser american infrastructure funds for breaching its duties sept 22 2023 sec charges citadel securities for violating order marking requirements of short sale regulations sept 22 2023 sec charges mexico based company its ceo and four individuals in ponzi scheme targeting spanish speaking u s investors sept 21 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 updated investor bulletin an introduction to able accounts sept 15 2023 subscription based advisory fees investor bulletin sept 6 2023 introduction to 529 plans aug 31 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 nathalia i burgos christian a cuesta steven a fernandez et al sep 22 2023 empirex capital llc and rafael alberto vargas gonzalez a k a rafael vargas sep 22 2023 j h darbie co inc sep 22 2023 jonathan becker sep 21 2023 jon p kubler kubler consulting llc aksarben evolution llc av bhill llc cfh texas llc green saddle llc sep 21 2023 more litigation releases latest administrative proceedings administrative releases super micro computer inc sep 22 2023 houston american energy corp et al sep 22 2023 douglas hawkins sep 22 2023 elsa m doyle sep 22 2023 american infrastructure funds llc sep 22 2023 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 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 sept 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 aug 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 stay connected 1 twitter 2 facebook 3 rss 4 youtube 6 linkedin 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 return to top
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