ENFORCEMENT
This page provides information on SMEC enforcement actions, opinions issued by the Commission, trading suspensions, and information on how investigations are conducted.
OPINIONS OF THE COMMISSION
HOW INVESTIGATIONS WORK
The Enforcement Division collaborates with the Commission to initiate investigations into law violations and recommends civil actions in federal court or before an administrative law judge. Additionally, the Division prosecutes cases on behalf of the Commission. Working in conjunction with law enforcement agencies domestically and globally, we pursue criminal cases when deemed necessary, complementing the SEC's civil enforcement mandate.