Doing Business with the Securities and Exchange Commission (SEC)

PURPOSE: The purpose of this document is to maximize industry awareness of doing business with 

the SEC. 

MISSION: The mission of the U.S. SEC is to protect investors, maintain fair, orderly, and efficient 

markets, and facilitate capital formation.

OVERVIEW: The SEC was established in 1934 as a result of the Securities Exchange Act of 1934. 

The SEC is made up of Headquarters and Operation Offices in the District of Columbia (DC) 

Metropolitan area and 11 Regional Offices located in the following places: New York City, NY; 

Boston, MA; Philadelphia, PA; Miami, FL; Atlanta, GA; Chicago, IL; Denver, CO; Fort Worth, TX; 

Salt Lake, UT: Los Angeles, CA; and San Francisco, CA. 

Go to www.SEC.gov for additional office and division specific information. 

THE “MODEL” SMALL BUSINESS 

A model small business understands and is equipped with the following: 

- A great reputation they protect

- A niche and a great marketing strategy and plan

- Ability to accept payments with a Government Purchase Card 

- Active registration in the System for Award Management (SAM) and all other systems 

the Federal Government utilizes to announce business opportunities

- Develops relationships with vendors in their industry for subcontracting opportunities 

- In depth knowledge regarding their niche product and/ or service 

- Socio-Economic certifications with the Small Business Administration (SBA) 

- Teaming and Mentor-Protégé Arrangements 

- Proof of concepts and technologies 

- Ability to perform and provide timely services and/ or products 

Register your Company in the System for Award Management (SAM) – All companies that do 

business with the Federal Government are required to maintain an active registration in SAM via 

www.SAM.gov.
GOVERNMENTWIDE SMALL BUSINESS GOALS 

Small Business – 23% 

Small Disadvantaged Business – 13% (FY24) 

Women Owned Small Business – 5% 

HUBZone Small Business – 3% 

Service Disabled Veteran-Owned Small Business – 3% 

The SEC seeks to maximize its collaboration with small business in reaching Government – 

wide statutory small business goals.

SEC Small Business Participation SEC FY23

Achievement* 

Governmentwide Goals

Small Business (SB) 54.89% 23%

Small Disadvantaged Business (SDB) 27.87% 12% (FY23)

Service-Disabled Veteran Owned Small

Business (SDVOSB)

15.03% 3%

Women-Owned Small Business (WOSB) 10.55% 5%

HUBZone small business 4.19% 3%

 *Based on FPDS data as of 10/03/2023.

Things You Should Know to Make Doing Business with the Government Easier

Know the Mission of the Agency - Knowing the mission of the SEC will help you make a 

determination as to whether or not the SEC may be able to utilize your products or services. You can 

read more about the SEC Mission at www.SEC.gov.

Understand what the SEC procures – Prior to marking your products or services, research 

historical procurement data. You may conduct your research via publically available domains via 

www.USASpending.gov (USA Spending) and www.fpds.gov/fpdsng_cms/ (FPDS-NG). Please do 

not waste time marketing to agencies that cannot or do not utilize your products or services. For 

example: A company that manufacturers’ uniforms, medicines, or missiles should not utilize 

resources by marketing to the SEC as we do not purchase these items. 
Get “Plugged-In” to Federal Opportunities

The SEC announces many of its opportunities on the System for Award Management (SAM) or on 

GSA e-Buy. Vendors are able to sign up for alerts: 

- On SAM sign up by NAICS Code(s) via www.SAM.gov

- On GSA sign up by SIN via www.GSA.gov

Both systems are utilized regularly by the SEC Office of Acquisitions (OA) 

HELPFUL WEBSITES AND CONTACTS 

Small Business Administration (SBA) – www.SBA.gov

System for Award Management (SAM) – www.SAM.gov

Minority Business Development Agency (MBDA) – www.MBDA.gov

National Women’s Business Council (NWBC) – www.Womenbiz.gov

General Services Administration (GSA) – www.GSA.gov

North American Industry Classification Systems (NAICS codes) – www.census.gov/eos/www/naics

Association of Procurement Technical Assistance Centers (APTAC) – www.APTAC-us.org/new/

Veterans Affairs Webpage for VOSBs and SDVOSBs – www.VETbiz.gov

USA Spending – www.USASpending.gov

SEC Contact Info: 

Nicholas Chung, Small Business Specialist

Email – SmallBusinessSpecialist@SEC.GOV