Division of Enforcement

The Division of Enforcement investigates possible violations of securities laws, recommends Commission action when appropriate, either in a federal court or before an administrative law judge, and negotiates settlements.

About the Division Enforcement Manual Enforcement Actions     Federal Court Actions     Administrative Proceedings     ALJ Initial Decisions & Orders     Commission Opinions Trading Suspensions Investors Claims Funds

Data Delivery Standards Delinquent Filings Program Prime Bank Fraud Information Center Investor Alerts Accounting and Auditing Enforcement Releases Tips & Complaints