Division of Enforcement of the SEC

E60923

division of a government agency law enforcement body regulatory enforcement division

The Division of Enforcement of the SEC is the U.S. Securities and Exchange Commission’s primary investigative and prosecutorial arm responsible for pursuing violations of federal securities laws and protecting investors.

Aliases (1)

SEC enforcement actions ×1

Statements (50)

Predicate	Object
instanceOf	division of a government agency → law enforcement body → regulatory enforcement division →
canImpose	cease-and-desist orders → civil monetary penalties → disgorgement of ill-gotten gains → industry bars and suspensions → injunctive relief → officer and director bars →
cooperatesWith	Financial Industry Regulatory Authority → U.S. Department of Justice → foreign securities regulators → state securities regulators →
country	United States →
enforces	Foreign Corrupt Practices Act (securities-related provisions) → anti-fraud provisions of federal securities laws → broker-dealer regulations → disclosure and reporting requirements for public companies → insider trading prohibitions → investment adviser regulations → investment company regulations → market manipulation prohibitions →
hasSubUnit	Asset Management Unit → Cyber Unit → FCPA Unit → Financial Reporting and Audit Group → Market Abuse Unit →
headquartersLocation	Washington, D.C. →
jurisdiction	federal securities laws of the United States →
legalAuthority	Dodd–Frank Wall Street Reform and Consumer Protection Act → Foreign Corrupt Practices Act (securities provisions) → Investment Advisers Act of 1940 → Investment Company Act of 1940 → Sarbanes–Oxley Act of 2002 → Securities Act of 1933 → Securities Exchange Act of 1934 → federal securities laws of the United States →
parentAgency	U.S. Securities and Exchange Commission →
partOf	U.S. Securities and Exchange Commission →
primaryFunction	investigate potential violations of federal securities laws → maintain fair, orderly, and efficient markets → promote capital formation through enforcement of securities laws → prosecute administrative proceedings before SEC administrative law judges → prosecute civil enforcement actions in federal court → protect investors → recommend enforcement actions to the Commission →
reportsTo	the Commissioners of the U.S. Securities and Exchange Commission →
usesTool	Wells notice process → informal inquiries and formal investigations → subpoenas for documents and testimony →

Referenced by (4)

Subject (surface form when different)	Predicate
DERA → Office of Compliance Inspections and Examinations →	collaboratesWith
Investment Advisers Act of 1940 →	enforcementBy
Rule 10b-5 ("SEC enforcement actions") →	usedIn