SEC.gov | HOME

Web Name: SEC.gov | HOME

WebSite: http://www.sec.gov

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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. An Interactive Memorial Day TributeThe SEC Veterans Committee presents an interactive Memorial Day tribute with SEC staff stories, online activities, and a special message from Chairman Jay Clayton. COVID-19 Quick Reference Guide for Investors and Market ParticipantsThe SEC remains fully operational and committed to our tripartite mission to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. Here is a quick reference guide to actions taken by the SEC for various market participants. Regulation Best Interest, Form CRS and Related InterpretationsThe SEC adopted a package of new rules designed to enhance the quality and transparency of retail investors’ relationships with investment advisers and broker-dealers. These include new Regulation Best Interest, the new Form CRS Relationship Summary, and two separate interpretations under the Investment Advisers Act of 1940. E-mail Updates Sign up for emails that will deliver SEC News direct to your inbox. Investor Alerts & BulletinsThe 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. OmbudsmanThe 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. Remarks at the 38th Government-Business Forum on Small Business Capital FormationChairman Jay Clayton’s remarks at the event, held in Omaha, Nebraska, highlighted small businesses raising capital. Crowdfunding Offerings Data SetsThe SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding Tell us about your experienceMaking 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. 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 StatisticsOur 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. Company Information About Active Broker-DealersThis 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 2020 Information About Registered Investment Advisers and Exempt Reporting AdvisersThe 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 2020

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