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Research the role of the Securities and Exchange Commission (S.E.C.) and identity potential consequences of violating S.E.C. regulations.
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Research the role of the Securities and Exchange Commission (S.E.C.) and identity

potential consequences of violating S.E.C. regulations.

User Ecurbh
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Answer:

The Division obtains evidence of possible violations of the securities laws from many sources, including market surveillance activities, investor tips and complaints, other Divisions and Offices of the SEC, the self-regulatory organizations and other securities industry sources, and media reports. All SEC investigations are conducted privately.

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User Tim Klein
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