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SEC rules help provide avenues for small businesses to raise capital efficiently from both public and private markets so they can create new jobs, develop life-changing innovations and technology, grow the economy and create opportunities for investors.
 

We Inform and Protect Investors

We Facilitate Capital Formation

We Enforce Federal Securities Laws

We Regulate Securities Markets

We Provide Data

SEC Hosts Girl Scouts to Spread Financial Literacy and Highlight Career Opportunities

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### Featured Video

### Office Hours with Gary Gensler: What Do the US Treasury Markets Have to Do with the SEC?

SEC Chair Gary Gensler discusses the back of the $1 bill, pyramids, the U.S. Treasury Markets, and what that all has to do with the Securities and Exchange Commission. 

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### Spotlight On

### SEC’s 43rd Annual Small Business Forum

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### Latest News

                                          - SEC Charges Five Investment Advisers for Marketing Rule Violations April 12, 2024
                                          - Statement on Jury’s Verdict in Trial of Matthew Panuwat April 5, 2024
                                          - Statement on Jury’s Verdict in Trial of Terraform Labs PTE Ltd. and Do Kwon April 5, 2024

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## E-mail Updates

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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 YourInvestmentProfessional

### 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.

                                            - New “T+1” Settlement Cycle – What Investors Need To Know: Investor Bulletin March 27, 2024
                                            - Investment Scams Involving Fake Form 4 Filings: Updated Investor Alert March 15, 2024
                                            - Updated Investor Bulletin: How to Read a Mutual Fund or ETF Shareholder Report   Jan. 19, 2024

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#### Ombuds

## We Facilitate Capital Formation

### Capital Raising

### FinHub

                                            - 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

aCyberEnforcement Actions

oAdministrativeProceedingDocuments

#### Office of the Whistleblower

## Latest Federal Court Actions

### Litigation Releases

                                            - Lixin Azarmehr, JL Real Estate Development Corporation, Nevada Skilled Nursing Lender, LLC, and Nevada Skilled Nursing Development April 12, 2024
                                            - Justin Robert King April 11, 2024
                                            - Zachary J. Horwitz April 11, 2024
                                            - Rosenberger et al. April 9, 2024
                                            - Mark Borden April 9, 2024

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## Latest Administrative Proceedings

### Administrative Releases

                                            - Luis F. Serrano April 12, 2024
                                            - Julio Eduardo Taffinder April 12, 2024
                                            - Hayden F. Greene April 12, 2024
                                            - Petroteq Energy, Inc. and Aleksandr Blyumkin April 12, 2024
                                            - Bradesco Global Advisors Inc.  April 12, 2024

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## We Regulate Securities Markets

=SEC Proposed Rules

hView Final Rules

 Commission Votes

## 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.  UpdatedApril 2024
                                            - 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. UpdatedApril 2024

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#### SEC Enhances Access to Financial Disclosure Data

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