Division of Enforcement
About the Division »
The Division of Enforcement was created in August 1972 to consolidate enforcement activities that previously had been handled by the various operating divisions at the Commission's headquarters in Washington. The Commission's enforcement staff conducts investigations into possible violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as its administrative proceedings.
Learn more about the Division of Enforcement 
Latest Enforcement News
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SEC: Sports Team Offering Is A Penny Stock Fraud
Dec. 11, 2015 -
SEC Suspends Public Accountants for Bad Auditing
Dec. 10, 2015 -
SEC: Lawyers Offered EB-5 Investments as Unregistered Brokers
Dec. 7, 2015 -
SEC Announces Charges for Spoofing and Order Mismarking
Dec. 3, 2015 -
SEC: Grant Thornton Ignored Red Flags in Audits
Dec. 2, 2015
Enforcement Actions
Quick Links
Tips & Complaints
- Report a possible securities fraud
- Ask a question or report a problem concerning your investments, your investment account or a financial professional
- Learn about the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act