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 is hosting a roundtable to discuss listed options market structure, including facilitating competition in a quote-driven market, the customer experience, and opportunities and challenges for continued growth.
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 Securities and Exchange Commission today announced that David Woodcock has been appointed Director of the Division of Enforcement, effective . Mr. Woodcock is currently a partner in the Dallas and Washington, D.C. offices of Gibson, Dunn & Crutcher LLP, where he serves as chair of the firm’s Securities Enforcement Practice Group. Sam Waldon will continue to serve as Acting ...
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 updates. For occasional reports on current trends and issues facing the securities industry, choose “Special Studies” from the “Category” field below.
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.
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.