SEC investigations

SEC investigations are formal inquiries conducted by the U.S. Securities and Exchange Commission to examine potential violations of securities laws and regulations. These investigations aim to ensure fair, transparent markets by reviewing financial disclosures, trading practices, and corporate behavior. They can arise from tips, audits, or suspicious activity reports and may lead to penalties, fines, or legal action if misconduct is found. The process involves collecting evidence, conducting interviews, and analyzing data to determine whether regulatory violations occurred, helping protect investors and maintain market integrity.