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SEC.gov|HOMESkiptomaincontentSearchSEC.govCompanyFilingsU.S.SecuritiesandExchangeCommissionqAboutCareersCommissionersContactReportsandPublicationsSecuritiesLawsWhatWeDoDivisions&OfficesCorporationFinanceEnforcementInvestmentManementEconomicandRiskAnalysisTradingandMarketsOfficeofAdministrativeLawJudgesExaminationsRegionalOfficesAllDivisionsandOfficesEnforcementLitigationReleasesAdministrativeProceedingsOpinionsandAdjudicatoryOrdersAccountingandAuditingTradingSuspensionsHowInvestigationsWorkReceivershipsInformSEC.gov | HOMEationforHarmedInvestorsRegulationRulemakingIndexProposedRulesFinalRulesInterimFinalTemporaryRulesOtherOrdersandNoticesSelf-RegulatoryOrganizationsStaffInterpretationsEducationInvestorEducationCapitalRaisingSmallBusinessGlossariesFilingsEDGAR–Search&AccessEDGAR–InformationforFilersCompanyFilingSearchHowtoSearchEDGARRequestingPublicDocumentsFormsListAboutEDGARNewsPressReleasesSpeechesandStatementsSpotlightTopicsUpcomingEventsWebcastsSECintheNewsSECVideosMediaGalleryUseraccountmenuLogin */WEARETHE INVESTOR'SADVOCATETheSECprotectsinvestors,promotesfairnessinthesecuritiesmarkets,andsharesinformationaboutcompaniesandinvestmentprofessionalstohelpinvestorsmakeinformeddecisionsandinvestwithconfidence.WeInformandProtectInvestorsWeFacilitateCapitalFormationWeEnforceFederalSecuritiesLawsWeRegulateSecuritiesMarketsWeProvideData SECStoriesQ&AwithEnforcementCounselJorgeTenreiroInhonorofPrideMonth,theSECspotlightsJorgeTenreiro,anSECDiversityCouncilmemberandformerCo-ChairoftheSEC’sPrideAlliance.AMissionforInclusion:InConversationwithGaryGenslerChairGenslerspokewithLloydM.JohnsonJr.,publisherofTheBlackInHouseCounselAnnualReport,todiscussDiversity,EquityandInclusion(DEI)anditsimportancetotheSEC’sworkforceandenda.MoreSECStoriesFeaturedVideoOfficeHourswithGaryGensler:WhyDoestheSECTakeTimeWhenDevelopingPublicPolicies?Goodpublicpolicytakeswork,includinghearingfromthepublic.TheAdministrativeProcedureActhelpsensurethatweconsideryourinputandstaywithinourmissionandthechalklinesofourauthority.Watchformoreontheprocess.MoreVideosSpotlightOnEnforcementTaskForceFocusedonClimateandESGIssuesTheClimateandESGTaskForcedevelopsinitiativestoproactivelyidentifyESG-relatedmisconductconsistentwithincreasedinvestorrelianceonclimateandESG-relateddisclosureandinvestment.MoreSpotlightTopics rInvestorAlertReadtheSEC’sInvestorAlerttoprotectyourselffromphonemesses,emails,andlettersthatmayfalselyappeartobefromtheSEC.bSubmitaTiporFileaComplaintLatestNewsSECAdoptsRulestoRequireElectronicFilingforInvestmentAdvisersandInstitutionalInvestmentManersJune23,2022SECAnnouncesSpring2022RegulatoryendaJune22,2022SECChargesEgan-JonesRatingsCo.andCEOwithConflictofInterestViolationsJune21,2022MoreNewsE-mailUpdatesSignupforemailsthatwilldeliverSECNewsdirecttoyourinbox.E-mailUpdates// jQuery(function($){$(document).ready(function(){$(".homepe_featured_content-we_inform_and_protect_investorsa").each(function(i){if($(this).attr("href")=='/spotlight/affinity-fraud.shtml'){$(this).attr("href","/newSEC.gov | HOMEs/stories/beware-of-affinity-fraud");}});});});WeInformandProtectInvestorsProtectYourMoney!Checkoutaninvestmentprofessional'sregistrationstatusandbackgroundatInvestor.gov.CheckYourInvestmentProfessionalLearnmoreAdvanceFeeFraudExchange-TradedFunds(ETFs)Form10-KVariableAnnuitiesBeforeyouinvest,Investor.govInvestorAlerts&BulletinsTheSEC'sOfficeofInvestorEducationandAdvocacyissuesInvestorAlerts&Bulletinsasaservicetoinvestors.InvestorAlertstypicallywarninvestorsaboutthelatestinvestmentfraudsandscams.InvestorBulletinstendtoeducateinvestorsaboutinvestment-relatedtopicsincludingthefunctionsoftheSEC.Broker-Dealer/CustomerArbitration:InvestorBulletinJune14,2022Extended-HoursTrading:InvestorBulletinJune6,2022WatchOutforFakeCOVID-19ClaimsWhenInvesting--InvestorAlertMay31,2022MoreInvestorAlerts&BulletinsOmbudsmanTheOmbudsmanwilllistentoyourinquiries,complaints,andissues,reviewtheinformationyouprovide,andhelpidentifyprocedures,options,andresources.TheOmbudsmanisalsoailabletoclarifycertainSECdecisions,policies,andpractices,andserveasanalternatechannelofcommunicationbetweenretailinvestorsandtheSEC.WeFacilitateCapitalFormationFinHubTheSEC’sFinHubfacilitatesouractiveengementwithinnovators,developers,andentrepreneursoffinancialtechnology.SmallBusinessCheckoutournewSmallBizsite,withinfotohelpcompaniesthatwanttoraisecapital.CrowdfundingOfferingsDataSetsTheSEC’sCrowdfundingOfferingsDataSetsprovideaquarterlylookatofferingsthatrelyontheRegulationCrowdfundingWeEnforceFederalSecuritiesLawsaCyberEnforcementActionsoAdministrativeProceedingDocumentsOfficeoftheWhistleblowerSubmitatip,learnabouttheprogram,orclaimanaward.LatestFederalCourtActionsLitigationReleasesStraightPathVenturePartnersLLC,StraightPathManementLLC,BrianK.Martinsen,MichaelA.Castillero,FrancineA.Lanaia,andEricD.LachowJun24,2022StevenJ.SheinfeldJun21,2022LekSecuritiesCorporation,et.al.Jun17,2022AnthonyMichaelHollandJun16,2022LoralL.LangemeierandLiveOutLoud,Inc.Jun15,2022MoreLitigationReleasesLatestAdministrativeProceedingsAdministrativeReleasesGelukCapitalManementLtd.andDouglasGeraldFathersJun24,2022RobinhoodFinancial,LLCJun24,2022GTVMediaGroup,Inc.,SaracaMediaGroup,Inc.andVoiceofGuoMedia,IncJun24,2022TheBrink'sCompanyJun22,2022AaronB.FletcherJun21,2022MoreAdministrativeReleasesWeRegulateSecuritiesMarketsTellusaboutyourexperienceMakingWallStreetworkforMainStreetmeansgettingyourinput.TheU.S.SecuritiesandExchangeCommissionwantstohearfromyou!Wewantyourinputonproposalsandotherpertinentissuesandtopics.Wewanttoknowwhatinformationisimportanttoyou,theinvestor..button-boxa>.fa{background-color:transparent;color:#273a56;font-size:400%;}.button-boxa:hover>.fa,.button-boxa:focus>.fa{color:#FFC057;} CreditRatingencies=SECProposedRuleshViewFinalRulesWeProvideDataDeveloperResourcesCheckoutupdatesontheSECopendataprogram,includingbestpracticesthatmakeitmoreefficienttodownloaddata.ViewDeveloperResourcesMoneyMarketFundStatisticsOurInvestmentManementAnalyticsOfficereleasedanupdatedMoneyMarketFundStatisticsreport.Thereportreflectsstaff’scompilationandanalysisofdatareportedtotheCommissiononFormN-MFP.LatestDataSetsCompanyInformationAboutActiveBroker-DealersThistextfilecontainstheCentralIndexKey(CIK)numbers,companynames,SECreportingfilenumbers,andaddresses(businessaddressesareprovidedwhenmailingaddressesarenotailable)ofactivebroker-dealerswhoareregisteredwiththeSEC.UpdatedJune2022InformationAboutRegisteredInvestmentAdvisersandExemptReportingAdvisersTheInvestmentAdviserInformationReports039;dataiscollectedfromelectronicsubmissionsofFormADVbyinvestmentadviserfirmstotheInvestmentAdviserRegistrationDepository(IARD)system.UpdatedJune2022MoreDataSetsSECEnhancesAccesstoFinancialDisclosureDataTheSEChasreleasedApplicatiSEC.gov | HOMEonProgrammingInterfaces(APIs)thatgregatefinancialstatementdata,makingcorporatedisclosuresquickerandeasierfordevelopersandthird-partyservicestouse.APIswillallowdeveloperstocreatewebormobileappsthatdirectlyserveretailinvestors.STAYCONNECTED1Twitter2Facebook3RSS4YouTube6LinkedIn8EmailUpdatesAboutTheSECBudget&PerformanceCareersCommissionVotesContactContractsDataResourcesTransparencyAccessibility&DisabilityDiversity&InclusionFOIAInspectorGeneralNoFEARAct&EEODataOmbudsmanWhistleblowerProtectionWebsitesInvestor.govRelatedSitesUSA.govSiteInformationPlainWritingPrivacy&SecuritySiteMapReturntoTop

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