Enforcement Topics & Initiatives

Learn more about some SEC enforcement initiatives and find examples of SEC enforcement actions arranged by categories. 

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.
• Crypto Assets - SEC enforcement actions related to fraudulent and unregistered crypto asset offerings and platforms as well as cyber-related threats.
• 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.
• Retail Strategy Task Force - A targeted initiative to identify and address misconduct that most affects retail investors.