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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 | 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
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
Opinions and Adjudicatory Orders | U. S. Securities and Exchange Commission Below is a chronological list of opinions and orders issued by the Commission in administrative proceedings, including those adjudicating appeals from initial decisions issued by administrative law judges or from action taken by self-regulatory organizations (such as FINRA) or the Public Company Accounting Oversight Board The opinions and orders linked below also may be found on the