Due to the ongoing federal government shutdown, the SEC is currently operating in accordance with the agency's plan for operating during a shutdown. Effective Thursday, Dec. 27 and until further notice, the agency will have a very limited number of staff members available. The SEC has staff available to respond to emergency situations involving market integrity and investor protection, including law enforcement. In addition, our plan calls for the continuing operation of certain Commission systems, including EDGAR. We plan to post any changes in operational status on this page. Additional information is available from the Division of Corporation Finance and the Division of Investment Management.
Information for Contractors
The Office of Acquisitions has compiled a list of contracts that are required to support certain SEC functions during the federal government shutdown. Performance of contracts not on this list must be suspended. The list will be updated as appropriate. More information is available here.
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Check out an investment professional's registration status and background at Investor.gov.
Investor Alerts & Bulletins
The SEC's Office of Investor Education and Advocacy issues Investor Alerts & Bulletins as a service to investors. Investor Alerts typically warn investors about the latest investment frauds and scams. Investor Bulletins tend to educate investors about investment-related topics including the functions of the SEC.
We Enforce Federal Securities Laws
We Enforce Federal Securities Laws
Latest Federal Court Actions
Litigation Releases
- Cherubim Interests, Inc., PDX Partners, Inc., Victura Construction Group, Inc., and Patrick Jevon JohnsonDec 26, 2018
- John T. Place, et al.Dec 21, 2018
- China United Insurance Service, Inc., et al.Dec 21, 2018
- Grenda Group, LLC, et al.Dec 20, 2018
- Robert S. "Lute" Davis, Jr., et al., Jordan E. Goodman., Alan H. New, et al.Dec 19, 2018
Latest Administrative Proceedings
Administrative Releases
- Hertz Global Holdings, Inc and the Hertz CorporationDec 31, 2018
- New Global Energy, Inc.Dec 26, 2018
- Polycom, Inc.Dec 26, 2018
- Centrais Elétricas Brasileiras S.A.Dec 26, 2018
- Stephen T. CarbonellaDec 26, 2018
We Regulate Securities Markets
We Regulate Securities Markets
We Provide Data
We Provide Data
Developer Resources
Check out updates on the SEC open data program, including best practices that make it more efficient to download data.
Latest Data Sets
- The Investment Adviser Information Reports' data is collected from electronic submissions of Form ADV by investment adviser firms to the Investment Adviser Registration Depository (IARD) system.Updated
- This text file contains the Central Index Key (CIK) numbers, company names, SEC reporting file numbers, and addresses (business addresses are provided when mailing addresses are not available) of active broker-dealers who are registered with the SEC.Updated