Securities Enforcement

Securities enforcement refers to the actions taken by regulatory bodies, like the Securities and Exchange Commission (SEC) in the United States, to ensure that companies and individuals comply with securities laws. These laws govern the buying and selling of stocks and other investment products to protect investors from fraud and misleading practices. Enforcement can include investigations, penalties, and legal actions against those who violate these laws, aiming to maintain fair and transparent markets and to uphold public confidence in the financial system.