Enforcement Topics & Initiatives

Learn more about some SEC enforcement initiatives and find examples of SEC enforcement actions arranged by categories. Lists of all litigation releases or administrative proceedings can be found on the Enforcement and Litigation webpage.

Topics & Initiatives

• Accounting & Auditing Enforcement - A compilation of SEC enforcement actions related to financial reporting violations.
• Affinity Fraud - Examples of enforcement cases and other materials related to SEC efforts to stop fraudsters who prey upon a particular community, religious, or ethnic group.
• Cyber, Crypto Assets and Emerging Technology – Examples of SEC enforcement actions related to the misuse of innovation to harm investors and diminish confidence in new technologies.
• Foreign Corrupt Practices Act - A complete history of SEC enforcement actions against FCPA violators.
• Public Alerts: Unregistered Soliciting Entities - A list of entities believed to be falsely claiming they’re registered to offer investments or impersonating actual firms or regulatory agencies.