All public companies are required to file reports with the Securities and Exchange Commission (SEC). Find out more about the public forms and their rules, regulations, and schedules.
This division seeks to ensure that investors are provided with material information in order to make informed investment decisions. It also provides interpretive assistance to companies with respect to SEC rules and forms and makes recommendations to the Commission regarding new rules and revisions to existing rules.
This division was created in September 2009 to integrate financial economics and rigorous data analytics into the core mission of the SEC. The Division is involved across the entire range of SEC activities, including policy-making, rule-making, enforcement, and examination
Oversees mutual funds and other investment products and services that investors may use to help them buy a home, send kids to college, or prepare for retirement.
This division establishes and maintains standards for fair, orderly, and efficient markets. It regulates the major securities market participants, including broker-dealers, self-regulatory organizations (such as stock exchanges, FINRA, and clearing agencies), and transfer agents.
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