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 …

Apr 16, 2026 · 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 …

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 …

The SEC rulemaking process under the federal securities laws is designed to solicit significant public input and undergo rigorous analysis before any regulatory change takes effect. A need for …

Apr 16, 2026 · 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.

Feb 11, 2026 · 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 …

The Securities and Exchange Commission today announced enforcement results for the fiscal year that ended on September 30, 2025. Central to an effective enforcement program is determining which …

SEC Forms Index A list of PDF versions of the SEC forms used in public filings along with the rules, regulations, and schedules associated with these forms.

Before serving as an SEC Commissioner, Chairman Atkins was a consultant on securities and investment management industry matters, especially regarding issues of strategy, regulatory …

The SEC conducts examinations of investment advisers, investment companies, broker-dealers, self-regulatory organizations, clearing agencies, transfer agents, and other registrants. Examiners use a …