SEC Enforcement Actions

SEC Enforcement Actions are measures taken by the U.S. Securities and Exchange Commission (SEC) to address violations of securities laws. When individuals or companies engage in fraud, insider trading, or other unlawful practices in the financial markets, the SEC investigates and, if warranted, initiates enforcement actions. These can include fines, penalties, and bans from serving as officers in public companies. The goal is to protect investors, maintain fair markets, and uphold the integrity of the financial system. The SEC aims to deter wrongdoing and ensure compliance with regulations.