Statements (36)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
regulatory activity
|
| gptkbp:aimsTo |
protect investors
maintain fair markets promote capital formation |
| gptkbp:announcesActionsVia |
press releases
|
| gptkbp:canBe |
self-regulatory organizations
state regulators international regulators |
| gptkbp:canReferCasesTo |
gptkb:Department_of_Justice
|
| gptkbp:cause |
fines
injunctions disgorgement bans from industry |
| gptkbp:conductedBy |
gptkb:U.S._Securities_and_Exchange_Commission
|
| gptkbp:establishedIn |
1972
|
| gptkbp:focusesOn |
securities law violations
|
| gptkbp:hasDivision |
gptkb:Division_of_Enforcement
|
| https://www.w3.org/2000/01/rdf-schema#label |
SEC enforcement
|
| gptkbp:includes |
investigations
civil lawsuits administrative proceedings |
| gptkbp:publishes |
annual enforcement report
|
| gptkbp:target |
gptkb:Ponzi_schemes
insider trading market manipulation accounting fraud Foreign Corrupt Practices Act violations unregistered securities offerings broker-dealer violations investment adviser violations misleading disclosures |
| gptkbp:uses |
data analytics
market surveillance whistleblower tips |
| gptkbp:bfsParent |
gptkb:Richard_H._Walker
|
| gptkbp:bfsLayer |
7
|