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

141 - 160 of 194 forms

Form Title Topics
Registration statement for securities of certain foreign private issuers issued in certain business combination transactions
Registration statement for separate accounts organized as unit investment trusts that offer variable life insurance policies
Registration statement of face-amount certificate companies
Registration statement of separate accounts organized as management investment companies
Registration statement of separate accounts organized as management investment companies
Registration statement of separate accounts organized as unit investment trusts
Registration statement of separate accounts organized as unit investment trusts
Registration statement of small business investment company
Registration statement of small business investment company
Registration statement of unit investment trusts which are currently issuing securities
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d)
Registration statement pursuant to Section 12 or annual report pursuant to Section 13(a) or 15(d)
Registration statement under Securities Act of 1933
Registration statement under Securities Act of 1933
Registration statement under Securities Act of 1933
Registration statement under Securities Act of 1933 to be offered to employees pursuant to certain plans
Registration statement under the Securities Act of 1933
Registration statement under the Securities Act of 1933
Registration Statement Under the Securities Act of 1933
Registration Statement Under the Securities Act of 1933

Contact Information & Office Locations

1 contact point

Headquarters

Address:
100 F Street, NE
Washington, DC 20549

Phone numbers:
  • (800) 877-8339

Have Questions About This Agency?
Ask An Expert For Help:

Questions and comments are moderated. Minimum of 10 characters.

All questions and comments are moderated and publicly viewable. Please do not post private or sensitive information such as names, addresses, phone numbers, emails, confidential financial and legal details.

Login or sign up to submit questions