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 ...
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 serves as the investor's advocate and seeks the best and brightest talent to join its team. Learn more about SEC employment qualifications and the benefits of working at the SEC.
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.
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 rulemaking can be identified internally by the Commission or its staff, or externally by Congress, regulatory organizations, or the public. Twice a year under the Regulatory Flexibility Act, the SEC is ...
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.