SEC.gov | Statutes and Regulations
This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the …
SEC.gov | About
Jan 23, 2025 · The federal securities laws empower the Securities and Exchange Commission with broad authority over all aspects of the securities industry. The SEC’s mission is to protect …
SEC.gov | Home
Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and …
SEC.gov | Two Robinhood Broker-Dealers to Pay $45 Million in …
Jan 13, 2025 · The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have …
Opinions and Adjudicatory Orders | U.S. Securities and Exchange …
2 days ago · Below is a chronological list of opinions and orders issued by the Commission in administrative proceedings, including those adjudicating appeals from initial decisions issued …
SEC.gov | Division of Enforcement
2 days ago · Vigorously enforces the federal securities laws to protect investors and maintain the integrity of the markets.
SEC.gov | Newsroom
Nov 21, 2025 · View All Dec 04 SEC Meetings and Other Events Investor Advisory Committee The SEC Investor Advisory Committee will hold a meeting to discuss regulatory changes in …
Division of Trading and Markets - SEC.gov
2 days ago · The Division of Trading and Markets regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, …
SEC.gov | Search Filings
Aug 13, 2025 · Enjoy free public access to millions of informational documents filed by publicly traded companies and others in the SEC's Electronic Data Gathering, Analysis, and Retrieval …
Broker-Dealers - SEC.gov
A broker is any person engaged in the business of buying or selling securities for the account of others. A dealer is any person engaged in the business of buying or selling securities, but for …