Securities and Exchange Commission

Official Website: https://www.sec.gov/

The Securities and Exchange Commission (SEC) is a federal government agency responsible for regulating the securities industry, enforcing federal securities laws, and protecting investors. The agency was created by the Securities Exchange Act of 1934, passed in response to the stock market crash of 1929 and the Great Depression. It oversees securities exchanges, brokers and dealers, investment advisors, and mutual funds to promote fair dealing, disclose important market information, and prevent fraud.

The SEC has a three-part mission: to protect investors; to maintain fair, orderly, and efficient markets; and to facilitate capital formation. The agency ensures that companies and individuals who sell securities follow the rules and regulations outlined in the federal securities laws. It also gives investors access to important information about companies they may be interested in investing in, such as financial statements and other disclosures.

The Securities and Exchange Commission is led by a five-member commission appointed by the President of the United States and confirmed by the Senate. The commission is responsible for making rules and regulations governing the securities industry and enforcing those rules through investigations and enforcement actions.

Forms & Documents

Browse all Securities and Exchange Commission government forms

1 - 20 of 194 forms

Form Title Topics
Accounting of Segregated Trust Account
Annual notice of securities sold pursuant to Rule 24-f2
Annual notice of securities sold pursuant to Rule 24-f2
Annual report for foreign governments and political subdivisions thereof
Annual Report for Registered Investment Companies
Annual Report of Proxy Voting Record of Registered Management Investment Company
Annual Report of Proxy Voting Record of Registered Management Investment Company
Annual report pursuant to Section 13 or 15(d)
Annual report pursuant to Section 13 or 15(d)
Annual Reports and Special Financial Reports
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d)
Annual reports of employee stock purchase, savings and similar plans pursuant to Section 15(d)
Annual statement of changes in beneficial ownership of securities
Annual statement of changes in beneficial ownership of securities -— general instructions
Application for a temporary or continuing hardship exemption
Application for Award for Original Information Submitted Pursuant to Section 21F of the Securities Exchange Act of 1934
Application for deregistration of certain registered investment companies
Application for exemption filed pursuant to Section 304(c) of the Trust Indenture Act of 1939
Application for Municipal Advisor Registration; Annual Update of Municipal Advisor Registration; and Amendment of a Prior Application for Registration
Application for registration as a municipal securities dealer or amendment to such application

Contact Information & Office Locations

1 contact point

Headquarters

Address:
100 F Street, NE
Washington, DC 20549

Phone numbers:
  • (800) 877-8339

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