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 …

Dec 8, 2025 · The Securities and Exchange Commission is holding the second of three virtual compliance outreach events regarding the 2024 adoption of amendments to Regulation S-P.

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 …

Nov 18, 2025 · 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 …

Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have …

Jan 23, 2025 · 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 …

2 days ago · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, …

2 days ago · Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets.

Dec 10, 2025 · 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.

6 days ago · Notices of Effectiveness A compilation of Securities Act registration statements and post-effective amendments that were declared effective on the most recently completed …