Division of Enforcement
E4217
The Division of Enforcement is the branch of the U.S. Securities and Exchange Commission responsible for investigating potential securities law violations and pursuing civil enforcement actions.
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
division of a government agency
→
law enforcement body → |
| cooperatesWith |
Financial Industry Regulatory Authority
→
United States Department of Justice →
surface form:
U.S. Department of Justice
foreign securities regulators → state securities regulators → |
| country | United States of America → |
| employer |
SEC enforcement attorneys
→
SEC investigators → forensic accountants → litigation support staff → |
| headquartersLocation | Washington, D.C. → |
| jurisdiction | federal securities laws of the United States → |
| legalAuthority |
Dodd–Frank Wall Street Reform and Consumer Protection Act
→
Investment Advisers Act of 1940 → Investment Company Act of 1940 → Sarbanes–Oxley Act of 2002 → U.S. Securities Act of 1933 →
surface form:
Securities Act of 1933
U.S. Securities Exchange Act of 1934 →
surface form:
Securities Exchange Act of 1934
U.S. federal securities laws → |
| parentOrganization |
Securities and Exchange Commission
→
surface form:
U.S. Securities and Exchange Commission
|
| partOf |
Securities and Exchange Commission
→
surface form:
U.S. Securities and Exchange Commission
|
| responsibility |
administering the SEC whistleblower program enforcement aspects
→
conducting civil enforcement litigation involving securities law violations → cooperating with domestic and foreign regulators on securities enforcement → coordinating with self-regulatory organizations on enforcement matters → enforcing Foreign Corrupt Practices Act accounting and internal controls provisions → enforcing anti-fraud provisions of the federal securities laws → enforcing broker-dealer regulatory requirements → enforcing insider trading prohibitions → enforcing investment adviser and investment company regulations → enforcing market manipulation prohibitions → enforcing reporting and disclosure requirements for public companies → investigating potential violations of U.S. federal securities laws → negotiating settlements in securities enforcement matters → pursuing industry bars against securities professionals → pursuing officer and director bars → recommending civil enforcement actions to the U.S. Securities and Exchange Commission → referring potential criminal violations to criminal authorities → seeking civil monetary penalties for securities law violations → seeking disgorgement of ill-gotten gains → seeking injunctions against ongoing or future securities law violations → |
| sector |
financial regulation
→
securities regulation → |
| usesProcedure |
administrative proceedings before SEC administrative law judges
→
civil actions in U.S. federal courts → formal orders of investigation → informal inquiries → |
Referenced by (3)
Full triples — surface form annotated when it differs from this entity's canonical label.