Division of Enforcement

The Division of Enforcement (DE) is a part of the Securities and Exchange Commission (SEC) that investigates potential violations of federal securities laws. Its main role is to protect investors and maintain fair, orderly markets by identifying misconduct, such as fraud, insider trading, or financial misreporting. When violations are found, the DE can take legal actions, which may include filing charges or seeking penalties against individuals or firms. Essentially, it ensures that everyone follows the rules in the financial markets, promoting trust and integrity in the investing process.