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. Academic. 2012.
Look at other dictionaries:
Division Intervention Forces — Infobox Military Unit unit name=Division Intervention Forces/ 1st Armoured Division Division der Eingreifkräfte/1. Panzerdivision caption=Division Intervention Forces/ 1st Armoured Division Insignia country=Germany allegiance= type=Division… … Wikipedia
IRS Criminal Investigation Division — Infobox Law enforcement agency agencyname = Criminal Investigation nativename = nativenamea = nativenamer = commonname = abbreviation = CI patch = patchcaption = logocaption = badge = badgecaption = flagcaption = imagesize = motto =… … Wikipedia
Delaware Division of Alcohol and Tobacco Enforcement — patch The Delaware Division of Alcohol and Tobacco Enforcement (DATE) is an agency of the State of Delaware and is a division of the Delaware Department of Safety and Homeland Security (DSHS). Contents … Wikipedia
Drug Enforcement Administration — DEA redirects here. For other uses, see DEA (disambiguation). Drug Enforcement Administration Abbreviation DEA … Wikipedia
Law enforcement agency — (LEA) is a term used to describe either an organisation that enforces the laws of one or more governing bodies, or an organisation that actively and directly assists in the enforcement of laws. In doing so, the LEA assists the governing bodies to … Wikipedia
U.S. Immigration and Customs Enforcement — Abbreviation ICE ICE is a component of the United States Department of Homeland Security … Wikipedia
Law enforcement in New York — City · Westchester County · … Wikipedia
Criminal Justice Information Services Division — Not to be confused with the Criminal Justice Information Services of Scotland. CJIS redirects here. For the Canadian radio station in Nova Scotia, see CJIS FM. Federal Bureau of Investigation Common name Federal Bureau of Investigation… … Wikipedia
Louisiana Department of Wildlife & Fisheries - Enforcement Division — Infobox Law enforcement agency agencyname = Louisiana Department of Wildlife Fisheries Enforcement Division nativename = nativenamea = nativenamer = commonname = abbreviation = LDWF fictional = patch = LDWF patch.jpg patchcaption = logocaption =… … Wikipedia
List of law enforcement agencies — A law enforcement agency (LEA) is any agency which enforces the law. This may be a local or state police, federal agencies such as the Federal Bureau of Investigation (FBI) or the Drug Enforcement Administration (DEA). It could also refer to a… … Wikipedia