SEC Enforcement Actions

SEC enforcement actions content is now available in a single easy-to-navigate database. Material is topically organized using a taxonomy developed by CCH securities editors, (e.g., Broker-Dealers, Disclosure, Financial and Accounting Fraud, Hedge Funds, Investment Advisers, Litigation Procedure, Market Manipulation, Options Backdating, Proxies, Remedies). Within each of the 18 main topics, material is further sorted by sub-topic, document type and date. Cases that span multiple topics can be found under all the topic headings that are applicable. The topical organization makes the database easy to browse for cases on point and also enables targeted word searches.

The documents are further organized into five different categories of enforcement action:

  • Litigation Releases: In many instances, the SEC will issue a Litigation Release when significant cases are initiated, settled, or otherwise terminated.
  • Federal Court Opinions: Written opinions in civil cases brought by the SEC.
  • Settled Administrative Proceedings: ;Rather than going to court, the SEC brings administrative proceedings that are often settled immediately. The Commission releases a document with a release number detailing the charges and the settlement.
  • Administrative Law Judge Opinions: These are the initial orders and opinions in contested administrative proceedings, and also include instances when orders are entered following these initial opinions.
  • SEC Commission Opinions: Opinions of the SEC acting as a reviewing body with regard to orders issued by administrative law judges or self-regulatory organizations such as stock exchanges.

Additional materials include interpretative guidance such as the SEC Staff Enforcement Manual, found under the “Agency Publications” topic.

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Details

  • This single easy-to-navigate database contains more than 10,000 enforcement actions issued since January, 2002 and is updated weekly to keep you current.
  • It features a taxonomy developed by CCH securities editors that organizes material by topic.
  • Within each of the 18 main topics, material is further sorted by sub-topic, document type and date.
  • Cases that span multiple topics can be found under all the topic headings that are applicable.
  • The topical organization makes the database easy to browse for cases on point and also enables targeted word searches.

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