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

41 - 60 of 194 forms

Form Title Topics
Certification of a foreign private issuer’s termination of registration of a class of securities under Section 12(g) or its termination of the duty to file reports under Section 13(a) or Section 15(d)
Certification of Provider of Third-Party Due Diligence Services for Asset-Backed Securities
Certifications for Registration of Security-based Swap Dealers and Major Security-based Swap Participants
Certified shareholder report of registered management investment companies
Certified shareholder report of registered management investment companies
Current Report For Registered Management Investment Companies and Business Development Companies
Current Report For Registered Management Investment Companies and Business Development Companies
Current Report, Money Market Fund Material Events
Current Report Pursuant to Regulation A
Current report pursuant to Section 13 or 15(d)
Current report pursuant to Section 13 or 15(d)
Customer Relationship Summary
Designation of U.S. Agent for Service of Process for Non-Residents
Examination Brochure: Information about Examinations
(Financial and Operational Combined Uniform Single) FOCUS Report: Information Required of All Brokers and Dealers Pursuant to Rule 17a-5
FOCUS Report, Part I
FOCUS Report, Part II
FOCUS Report Part IIa
FOCUS Report Part IIa Instructions
FOCUS Report, Part IIC

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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