Division Of Enforcement

The Division of Enforcement is a branch of the U.S. Securities and Exchange Commission which is responsible for collecting evidence of possible securities law violations and recommending prosecution when necessary. Evidence of possible violations is collected through market surveillance activities, investor complaints, other divisions of the SEC and other securities industry sources.

The Division of Enforcement is somewhat like the police force for the SEC. Since the chief goal of the SEC is securities law enforcement, this division is central to accomplishing its mandate. According to the SEC website, common securities law violations include manipulation of market prices, stealing a customer's fund or securities, insider trading, violating the broker-dealers' responsibility to treat customers fairly, and misrepresentation or omission of material facts relating to securities.


Investment dictionary. . 2012.

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