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SEC. gov | Home Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow
SEC. gov | Statutes and Regulations This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public
SEC. gov | Newsroom The SEC's Crypto Task Force will host a public roundtable to facilitate an in-depth discussion on policy matters related to financial surveillance and privacy
SEC. gov | About The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry The SEC’s mission is to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation
SEC. gov | Division of Enforcement Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets
SEC. gov | Two Robinhood Broker-Dealers to Pay $45 Million in Combined . . . The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations
SEC. gov | Search Filings Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system
Division of Trading and Markets - SEC. gov The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), securities-based swap dealers, and transfer agents
Division of Investment Management - SEC. gov Notices of Effectiveness A compilation of Securities Act registration statements and post-effective amendments that were declared effective on the most recently completed business day
SEC. gov | Compliance The SEC maintains a robust national examination program to ensure that firms offering securities-related services or advice are fully complying with rules and regulations as well as their obligations to clients