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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Morgan Stanley, Citigroup Charged With Misleading Investors About Forex Trading Program
Jan. 24, 2017 -
Shipping Conglomerate and Former CFO Charged With Failure to Recognize Hundreds of Millions in Tax Liabilities
Jan. 23, 2017 -
SEC Announces Fraud Charges, Asset Freeze in Alleged Nursing Home Investment Scheme
Jan. 23, 2017 -
SEC Announces $7 Million Whistleblower Award
Jan. 23, 2017 -
Jennifer Diamantis Named Chief of Office of Market Intelligence
Jan. 19, 2017
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