SEC and CFTC Announce Historic Memorandum of Understanding Between Agencies The two agencies have entered into a MOU to guide coordination and collaboration to support lawful innovation, uphold market integrity, and ensure investor and customer protection.
The SEC's Small Business Capital Formation Advisory Committee is holding a meeting to discuss matters relating to rules and regulations under the federal securities laws that affect small and emerging businesses and their investors.
The SEC provides a variety of services and tools to help people invest wisely and avoid fraud. Visit the agency's Investor.gov website, review investor alerts and bulletins, and check your investment professional.
Official announcements highlighting recent actions taken by the SEC and other newsworthy information. To view Press Releases prior to 2012, view the Press Release Archive.
Reports and Publications This listing includes periodic SEC reports and publications. See also FOIA Frequently Requested Documents and SEC Data Resources for periodic data reports and updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.
The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on . Central to an effective enforcement program is determining which cases to bring and responsibly stewarding Commission resources. Regrettably, such resources have been misapplied in prior years to pursue media headlines and run up numbers, and in turn, led to ...
Before serving as an SEC Commissioner, Chairman Atkins was a consultant on securities and investment management industry matters, especially regarding issues of strategy, regulatory compliance, risk management, new product development, and organizational control.
The SEC conducts examinations of investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and other registrants. Examiners use a risk-based approach to fulfill their mission of improving compliance, preventing fraud, monitoring risk, and informing SEC policy.