SEC Administrative Proceedings

SEC Administrative Proceedings are official processes conducted by the U.S. Securities and Exchange Commission to investigate and resolve potential violations of securities laws. When the SEC suspects misconduct, it may hold hearings to determine whether rules were broken, often involving hearings before an administrative law judge. If violations are found, penalties such as fines, bans from serving in securities-related roles, or other sanctions can be imposed. These proceedings are part of the SEC's enforcement efforts to maintain fair, transparent markets and protect investors.