About the Division »
The Division of Enforcement was created in August 1972 to consolidate enforcement activities that previously had been handled by the various operating divisions at the Commission's headquarters in Washington. The Commission's enforcement staff conducts investigations into possible violations of the federal securities laws, and prosecutes the Commission's civil suits in the federal courts as well as its administrative proceedings.
Learn more about the Division of Enforcement
Resources for Retail Investors
Tips & Complaints
- Report a possible securities fraud
- Ask a question or report a problem concerning your investments, your investment account or a financial professional
- Learn about the whistleblower provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act