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Special Issue: Securities Enforcement Actions After SOX
The Securities and Exchange Commission (SEC) was created by Congress in the aftermath of the 1929 stock market crash, the cause of which was widely attributed to fraudulent and deceptive practices on Wall Street. It is an independent regulatory agency whose five commissioners, including a Chairman, are appointed by the President. The SEC's Division of Enforcement is the “police force” of the Commission; it is responsible for the civil and administrative enforcement of the various federal securities laws. The Enforcement Division also typically works closely with U.S. Attorney's Offices throughout the country to assist with the criminal prosecution of securities violations.
SEC Investigations
The SEC receives complaints of securities violations from every imaginable source. No formalities are required, and the information need not be sworn to or provided in a particular format. Media reports, whistleblowers, information from state, federal or foreign agencies, Congressional inquiries, referrals from stock exchanges and other quasi-regulatory bodies, and simple letters from aggrieved investors have all initiated Enforcement Division investigations. The SEC has adopted Rules of Practice that establish procedures for the Enforcement staff to follow in the conduct of investigations. 17 C.F.R. ' 202.5, ' 203.1-.8.
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