About
PROTECTING INVESTORS
Our focus on investor welfare underscores the substantial ownership of equities by households, both directly and indirectly through avenues such as mutual funds, retirement accounts, and other investment vehicles, amounting to trillions of dollars. The regulatory framework we oversee is anchored in a fundamental principle: equitable treatment for all and access to pertinent information concerning investments and their purveyors.
"Everyone should be treated fairly and have access to certain facts about investments and those who sell them."
Central to our mandate is the assurance that public companies, fund and asset managers, investment professionals, and other stakeholders in the market consistently disclose significant financial and operational data. This transparency ensures that investors are equipped with timely, accurate, and comprehensive information essential for making well-informed investment decisions.
In our commitment to investor protection, we maintain a robust enforcement mechanism aimed at holding accountable those who flout regulations and deterring future misconduct. Our recent enforcement actions, including trading suspensions, restitution claims, and Commission directives, exemplify our unwavering dedication to upholding market integrity. Further details on these endeavors can be found on our Enforcement page.
Annually, our enforcement actions against fraudulent entities and scammers culminate in the restitution of hundreds of millions of dollars to aggrieved investors.
REGIONAL OFFICES
Washington D.C. Regional Office
12th Street, N.W. Washington, DC 20005 United States
OUR MISSION CONTINUES
Moving forward, our enduring mission remains our guiding principle. We persistently reassess and refine our strategies, leveraging technology and data analytics to enhance our performance in fulfilling this mission. Our commitment to innovation remains steadfast, adapting to the dynamic landscape of markets to instill unwavering trust among both the investing public and market participants. We continue to innovate in response to evolving markets and inspire the full confidence of the investing public and market participants alike. Moreover, our unwavering focus remains on the welfare of long-term Main Street investors, who rely on our securities markets to finance significant life milestones such as home purchases and college educations.