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Enforcement

May 12, 2017

The Office of International Affairs has used the materials in this section as educational and training materials in past training programs, and may also use them in future programs. Materials authored by individual members of the Commission’s staff reflect the views of the author, and not necessarily the views of the Commission, individual Commissioners, or the Commission staff. The selection of materials furnished by non-federal persons or entities does not necessarily imply Commission endorsement of the materials, any legal or policy positions stated in them, or their source. Additional training materials will be added as they become available.

Certain of the selected materials may contain, refer to, or explain particular statutes, rules, regulations, orders, and interpretations. These are subject to change, and you should rely only on the actual statutes, rules, regulations, orders, and interpretations that are currently in force. If you have questions concerning the meaning, application, or status of a particular statute, rule, regulation, order, or interpretation, you should consult with an attorney who specializes in securities law.

Overview of SEC's Enforcement Program and Market Oversight Resources


Goals and Objectives of an Effective Enforcement Program


Cooperation between Civil and Criminal Authorities


Cooperation with the SEC


Penalties


Disgorgement


Sanctions Against Company Officers & Management


Settlements


Asset Restraints


Role of Self Regulatory Organizations


Investigative Techniques


Market Surveillance Systems: Techniques & Enforcement


Investigating Financial Fraud By Issuers


Insider Trading


Pyramid Schemes & Offering Fraud


Market Manipulation


Boiler Rooms


Internet Fraud


Foreign Corrupt Practices Act


International Enforcement Cooperation


Administrative Law/Adjudication Procedures


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