SEC

What is the SEC?

The U.S. Securities and Exchange Commission (SEC) is a federal agency established in 1934 in response to the Great Depression. Its primary mission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

The SEC oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds to promote fair dealing, the disclosure of important market information, and to prevent fraud.

The official website, SEC.gov, serves as a comprehensive resource for investors, companies, and the general public to access information about the securities industry, regulatory actions, and educational materials.

Why Choose SEC.gov?

SEC.gov offers a centralized platform for accessing a wealth of information related to the U.S. securities markets. Users can find company filings, regulatory updates, investor education resources, and data on market trends. The website is designed to promote transparency and provide tools for informed decision-making

Core Features of SEC.gov

• EDGAR Database: Access millions of documents filed by publicly traded companies, including registration statements, periodic reports, and other forms.

• Investor Resources: Find educational materials, alerts, and tools to help investors make informed decisions and avoid fraud.

• Regulatory Information: Stay updated on rules, enforcement actions, and compliance guidelines that govern the securities industry.

• Newsroom: Access press releases, speeches, and statements from SEC officials to stay informed about recent developments.

• EDGAR Next: A new system to improve filer access and account management, enhancing the efficiency of electronic filings.

How to Start Using SEC.gov

1. Visit the Website: Go to https://www.sec.gov/.

2. Search for Company Filings: Use the EDGAR database to look up filings by company name, ticker symbol, or CIK number.

3. Explore Investor Resources: Navigate to the "Investors" section for educational materials and tools.

4. Stay Informed: Check the "Newsroom" for the latest press releases and updates.

5. Submit Filings: Companies can access the EDGAR Filer Management Portal to submit required documents.

Tips for Using SEC.gov

• Utilize Advanced Search: Use the full-text search feature to find specific information within filings.

• Customize Views: Adjust the interactive tables in the EDGAR landing page to sort and filter submissions according to your preferences.

• Stay Updated: Subscribe to email updates to receive the latest news and announcements from the SEC.

Frequently Asked Questions (FAQ)

Q: Is SEC.gov currently accessible?

A: Yes, SEC.gov is fully operational and accessible to the public. Users can visit https://www.sec.gov/ to access its resources.

Q: What can SEC.gov help me with?

A: SEC.gov provides access to company filings, investor education materials, regulatory updates, and tools for submitting filings. It's a valuable resource for investors, companies, and researchers.

Q: Does using SEC.gov require payment?

A: No, accessing information on SEC.gov is free of charge. Users can view filings, educational materials, and other resources without any fees.

Q: When was SEC.gov launched?

A: The SEC was established in 1934, and its official website, SEC.gov, has been operational since the late 1990s, continuously evolving to meet user needs.

Q: How does SEC.gov compare to other financial regulatory websites?

A: SEC.gov offers comprehensive resources specific to the U.S. securities markets, including the extensive EDGAR database. Compared to other regulatory websites, SEC.gov provides more detailed company filings and investor education materials tailored to U.S. regulations.
Q: What is EDGAR Next?

A: EDGAR Next is an initiative by the SEC to improve filer access and account management within the EDGAR system. It includes a new dashboard for filers to enroll and manage their filings more efficiently.

Q: How can I find information about a specific investment adviser?

A: You can view information about SEC-registered investment advisers by visiting the Investment Adviser Public Disclosure (IAPD) website at www.adviserinfo.sec.gov, which provides access to the most recent Form ADV filings.

Q: Are there resources for investors to avoid fraud?

A: Yes, the SEC provides various tools and educational materials to help investors make informed decisions and avoid fraud. These resources are available in the "Investors" section of SEC.gov.