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The Securities and Exchange Commission today announced a series of measures to further strengthen its enforcement program by encouraging greater cooperation from individuals and companies in the agency’s investigations and enforcement actions. more...
The Cooperation Initiative is a series of measures designed to encourage greater cooperation by individuals and companies in SEC investigations and related enforcement actions. The SEC has set forth, for the first time, the analytical framework it will use to evaluate whether, how much, and in what manner to credit cooperation by individuals in its investigations and enforcement actions.
In addition, the Commission has streamlined the process for submitting witness immunity requests to the Department of Justice for witnesses who have the capacity to assist in its investigations and related enforcement actions.
Finally, the Division of Enforcement authorized its staff to use new tools and to expand the use of existing tools to encourage individuals and companies to reports securities law violations and provide assistance in connection with investigations and related enforcement actions.
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SEC Enforcement Director Robert Khuzami Announces Measures to Further Strengthen SEC Investigatory Efforts
News Conference Remarks:
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Report a potential violation of the securities laws
Send an e-mail to: enforcement@sec.gov
Print and fill out a form and mail it to:
SEC Complaint Center
100 F Street NE,
Washington, D.C. 20549-0213.
Send a fax to: 703-813-6965.
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There is a wide spectrum of tools available to the Commission and its staff for facilitating and rewarding cooperation by individuals ranging from taking no enforcement action to pursuing reduced charges and sanctions in connection with enforcement actions.
Cooperation by individuals and entities in the Commission's investigations and related enforcement actions can also contribute significantly to the success of the SEC's mission, including detecting violations of federal securities laws, increasing the effectiveness and efficiency of the Commission's investigations as well as providing important evidence for its enforcement actions.
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