About the Division of Enforcement

Our Mission

• Protect investors and the integrity of the financial markets by investigating potential violations of the federal securities laws and litigating enforcement actions.

Our Values

• Integrity: Acting honestly, forthrightly, and impartially in every aspect of our work.
• Fairness: Assuring that everyone receives fair and respectful treatment without regard to wealth, social standing, publicity, politics, or personal characteristics.
• Commitment: Recognizing and caring deeply about the importance of our mission to protect investors and markets.
• Accountability: Building and sustaining trust and confidence among every member of our staff and our stakeholders.

Who We Are

• Division staff consist of lawyers, accountants, data scientists, paralegals, industry experts, and other professionals in Washington, D.C., and all SEC regional offices. View the Enforcement Division's leadership directory.
• If you are interested in joining us in carrying out our mission, visit the SEC's careers page. 

What We Do

• Conduct investigations into possible violations of the federal securities laws and litigate the Commission’s civil enforcement actions in federal courts or administrative proceedings.
• The Commission may seek to impose civil money penalties, obtain the return of illegal profits, bar or suspend individuals or entities from future involvement in the securities industry, and prohibit future violations.
• Whenever possible, funds obtained in SEC enforcement actions are returned to investors who have been financially harmed. Learn more about distributions to harmed investors.  

Types of Cases Brought by the Division:

• Insider Trading and Market Manipulation
• Financial Fraud and Accounting Misconduct
• Offering Frauds, Ponzi Schemes, Crypto Offerings, and Frauds Against Members of Targeted Communities
• Misconduct by Investment Advisers and Broker-Dealers

Reporting Misconduct

• Assistance and information from the public can be among the most powerful weapons in the Division’s arsenal.
• We strongly encourage whistleblowers and others to submit any tips, complaints, and referrals (TCRs) using the SEC’s online TCR system.
• Learn more about the SEC whistleblower program and find investor education tools at Investor.gov, where you can check whether people trying to sell you investments are actually registered to do so.