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 | 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 | 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 …
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 …
Chicago Regional Office - SEC.gov
Sep 18, 2024 · The Chicago Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment …
Enchanting, but Not Magical: A Statement on the Tokenization of …
Jul 8, 2025 · Blockchain technology has unlocked novel models for distributing and trading securities in a “tokenized” format. Tokenization may facilitate capital formation and enhance …
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 …
SEC.gov | Newsroom
Dec 22, 2025 · The SEC, Financial Industry Regulatory Authority (FINRA), and Municipal Securities Rulemaking Board (MSRB) are holding a virtual two-day compliance outreach …
Rule 144: Selling Restricted and Control Securities - SEC.gov
Jan 15, 2013 · This brochure presents an overview of what you need to know about selling your restricted or controlled securities. It also describes how to have a restricted legend remove.
SEC.gov | Enforcement and Litigation
While SEC investigations into possible securities law violations by firms or individuals are conducted privately to ensure they remain fair and objective, the SEC takes action publicly …