Securities and Exchange Commission - The Securities and Exchange Commission is an agency of the U.S. government which is responsible for federal securities law enforcement and regulation. According to the U.S. Securities and Exchange Commission website, the SEC aims to "to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation." The SEC site offers a wealth of helpful information, including public company filings and reports on EDGAR, investor information, news and public statements, and publications on investment-related topics for public education. The SEC website also takes investor complaints to identify securities law violators.
Securities and Exchange Commission Site Navigation Tips
To easily navigate the SEC site, Moneysmartz recommends these useful links:
- SEC Site Map: An easy way to view helpful topics from the SEC website.
- Investor Information: News, resource links, and tools and calculators to guide you in investing and avoiding fraud.
- Spotlight: Articles and tips to guide you in your financial management.
- EDGAR: Access to a complete list of filings for your registration statements and reports.
- Divisions: Links to other divisions and offices of the SEC.
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Listings
Securities and Exchange Commission Editors' Pick
Category: Asset Allocation
Beginners' guide to asset allocation, diversification, and rebalancing.
http://www.sec.gov/investor/pubs/assetallocation.htm
SEC Roadmap
Category: Risk Tolerance
Determine your risk tolerance.
http://www.sec.gov/investor/pubs/roadmap/risk.htm
Securities and Exchange Commission Editors' Pick
Category: Investing>Day Trading
Day Trading: Your Dollars at Risk.
http://www.sec.gov/investor/pubs/daytips.htm
Securities and Exchange Commission Editors' Pick
Category: Investing>Day Trading
Introduction to day trading by the SEC.
http://www.sec.gov/answers/daytrading.htm
Securities and Exchange Commission
Category: Law>Legal Information>Business Law>Securities
Includes vast SEC resources, including staff releases, daily digest, Edgar filings.
http://www.sec.gov/
U.S. Securities and Exchange Commission
Category: Accounting
The SEC is the agency responsible for administering federal securities laws in the U.S.
http://www.sec.gov/
SEC.gov - Pyramid Schemes
Category: Issues>Fraud>Investment>Ponzi or Pyramid Schemes
Explanations, warnings and links to related articles published by the FTC.
http://www.sec.gov/answers/pyramid.htm
U.S. Securities and Exchange Commission
Category: Investing>Stocks and Bonds>Stocks>Resources
Offers to search EDGAR archives.
http://www.sec.gov/cgi-bin/srch-edgar
Edgar Database Editors' Pick
Category: Investing>Major Companies>Company Information
Database for US Security and Exchange Commission filings required for publicly traded companies.
http://www.sec.gov/edgar.shtml
EDGAR Database of Online Corporate Financial Information
Category: Accounting
Copies of forms 10-K and other filings with the U.S. Securities and Exchange Commission. Forms are posted to the site 24 hours after the filing date.
http://www.sec.gov/edgarhp.htm
How to Avoid Internet Investment Scams
Category: Issues>Fraud>Internet
Securities and Exchange Commission information about investment fraud.
http://www.sec.gov/investor/pubs/cyberfraud.htm
How to Avoid Internet Investment Scams
Category: Investing>Consumer Information
Securities and Exchange Commission information about investment fraud.
http://www.sec.gov/investor/pubs/cyberfraud.htm
Internet Fraud
Category: Investing>Guides
How to avoid Internet investment scams.
http://www.sec.gov/investor/pubs/cyberfraud.htm
Invest Wisely: An Introduction to Mutual Funds
Category: Investing>Consumer Information>Mutual Funds
Explains the basics of mutual fund investing ù how mutual funds work, what factors to consider before investing, and how to avoid common pitfalls. Published by the SEC.
http://www.sec.gov/investor/pubs/inwsmf.htm
Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
Category: Issues>Violence and Abuse>Elder>Financial Abuse>Variable Annuity Fraud
This joint 2004 SEC-NASD report reviews weak sale practices associated with deferred variable annuities and gives recommendations including taking the customer's age into consideration. [PDF]
http://www.sec.gov/news/studies/secnasdvip.pdf
Securities and Exchange Commission (SEC)
Category: Government>Agencies>Independent>Securities and Exchange Commission
Access to file complaints with the SEC, news, reports, investor education material, and the EDGAR database of corporate disclosure reports. The SEC protect investors and maintains the integrity of the U.S. securities markets.
http://www.sec.gov/
Securities Exchange Commission Editors' Pick
Category: Investing>Education and Training
Tips to invest wisely and avoid fraud.
http://www.sec.gov/investor.shtml
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