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Skip to main content Search SEC.gov Company Filings | More Search Options -- Search SEC.gov Company Filings More Search Options U.S. Securities and Exchange Commission q About What We Do Commissioners Securities Laws Reports and Publications Careers Contact Divisions & Offices Corporation Finance Enforcement Investment Management Economic and Risk Analysis Trading and Markets Office of Administrative Law Judges Office of Compliance Inspections and Examinations Regional Offices All Divisions and Offices Enforcement Litigation Releases Administrative Proceedings Opinions and Adjudicatory Orders Accounting and Auditing Trading Suspensions How Investigations Work Receiverships Information for Harmed Investors Regulation Rulemaking Index Proposed Rules Final Rules Interim Final Temporary Rules Other Orders and Notices Self-Regulatory Organizations Staff Interpretations Education Investor.gov Five Questions to Ask Before You Invest About Investment Professionals Check Your Investment Professional Investing Tools and Calculators Investment Products Understanding Fees Investor Alerts and Bulletins Glossary Filings EDGAR – Search & Access EDGAR – Information for Filers Company Filing Search How to Search EDGAR Requesting Public Documents Forms List About EDGAR News Press Releases Public Statements Speeches Testimony Spotlight Topics What's New Upcoming Events Webcasts SEC in the News SEC Videos Media Gallery User account menu Log in SEC Response to COVID-19 See the overview of selected SEC response efforts to COVID-19. WE ARE THE -- BUILDING COMMUNITIES The SEC protects investors in the $3.8 trillion municipal securities markets that cities and towns rely on to provide neighborhood schools, local libraries and hospitals, public parks, safe drinking water and so much more. We Inform and Protect Investors We Facilitate Capital Formation We Enforce Federal Securities Laws We Regulate Securities Markets We Provide Data EDGAR Search company and individual filings. Company Name Search c Ticker or CIK Search c SEC Stories Check Out This Atlanta Regional Office Virtual Event Learn about potential scams during the COVID-19 pandemic and the most common tricks fraudsters use. This virtual event on July 22 is free and open to the public. Understanding the New Relationship Summary With Your Financial Professional Investors have a new tool when choosing a financial professional. This relationship summary document, known as Form CRS, provides important information about services, fees, and much more in one convenient place. More SEC Stories Featured Video Protecting Deaf, Hard-of-Hearing and Hearing Loss Communities from Investment Scams This video shows how a fraud takes place from the point of view of a man from the deaf and hard or hearing community who was defrauded by someone they thought they could trust. Spotlight On Tips for Main Street Investors from Chairman Jay Clayton Chairman Jay Clayton and his SEC colleagues have spent the past two years traveling around the country asking Main Street investors to “Tell Us” about their investment experiences. He is often asked, “What are your tips for investing?” In these videos, Chairman Clayton shares his personal notes on investing. Check back here for more tips from Chairman Clayton in the coming weeks. More Spotlight Topics   Expanding Investor Opportunities -- Latest News SEC Proposes Data Security Enhancements to the CAT NMS Plan Aug. 21, 2020 SEC Adopts Requirements to Ensure Public Notice, Comment, and Approval Prior to Effectiveness of NMS Plan Fees Aug. 19, 2020 SEC Names Marc P. Berger as Deputy Director of Enforcement Aug. 19, 2020 SEC Names Diana Stoltzfus as Deputy Chief Accountant Aug. 18, 2020 Caroline A. Crenshaw and Hester M. Peirce Sworn-In As SEC Commissioners Aug. 17, 2020 More News b Submit a Tip or File a Complaint E-mail Updates Sign up for emails that will deliver SEC News direct to your inbox. E-mail Updates We Inform and Protect Investors Protect Your Money! Check out an investment professional's registration status and background at Investor.gov . Check Your Investment Professional Learn more Advance Fee Fraud Exchange-Traded Funds (ETFs) Form 10-K Variable Annuities Before you invest, 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. Updated Investor Bulletin: Indexed Annuities July 31, 2020 Tips for Teachers: Investing for Retirement -- Investor Bulletin July 28, 2020 Broadly Advertised Investments – Investor Alert July 14, 2020 More Investor Alerts & Bulletins Ombudsman The Ombudsman will listen to your inquiries, complaints, and issues, review the information you provide, and help identify procedures, options, and resources. The Ombudsman is also available to clarify certain SEC decisions, policies, and practices, and serve as an alternate channel of communication between retail investors and the SEC. We Facilitate Capital Formation FinHub The SEC’s FinHub facilitates our active engagement with innovators, developers, and entrepreneurs of financial technology. Small Business Check out our new Small Biz site, with info to help companies that want to raise capital. Public and Private Sector Experts Collaborate at Annual Forum Check out the event highlights as well as keynote addresses from well-known leaders in the entrepreneurial community. Crowdfunding Offerings Data Sets The SEC’s Crowdfunding Offerings Data Sets provide a quarterly look at offerings that rely on the Regulation Crowdfunding We Enforce Federal Securities Laws a Cyber Enforcement Actions o Administrative Proceeding Documents Office of the Whistleblower Submit a tip, learn about the program, or claim an award. Latest Federal Court Actions Litigation Releases Ibrahim Almagarby, et al. Aug 20, 2020 Cecilia Millan and Margarita Cabrera Aug 18, 2020 Mark P. Frissora Aug 17, 2020 Ross Barish Aug 13, 2020 Sean R. Stewart et al. Aug 13, 2020 More Litigation Releases Latest Administrative Proceedings Administrative Releases Steven Pagartanis Aug 21, 2020 NPB Financial Group, LLC Aug 20, 2020 Stephen Douglas Pizzuti Aug 20, 2020 Devere USA, Inc. Aug 17, 2020 Milan K. Patel, Esq. Aug 14, 2020 More Administrative Releases We Regulate Securities Markets Tell us about your experience Making Wall Street work for Main Street means getting your input. The U.S. Securities and Exchange Commission wants to hear from you! We want your input on proposed rules and want to know what information is important to you, the investor. Credit Rating Agencies = SEC Proposed Rules h View Final Rules 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. View Developer Resources Money Market Fund Statistics Our Investment Management Analytics Office released an updated Money Market Fund Statistics report. The report reflects staff’s compilation and analysis of data reported to the Commission on Form N-MFP. Latest Data Sets Company Information About Active Broker-Dealers 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 Aug. 2020 Information About Registered Investment Advisers and Exempt Reporting Advisers 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 Aug. 2020 More Data Sets Office of Structured Disclosure The SEC's Office of Structured Disclosure is working to make financial r...