Introduction

The SEC has the authority to investigate possible securities law violations and to bring civil or administrative enforcement actions against individuals or companies suspected of wrongdoing.

If you are contacted by the SEC or any other regulator, it is important to seek experienced legal counsel immediately especially those with knowledge on how to win securities litigation cases. An experienced attorney can help you navigate the investigation process and protect your rights.

SEC Background

This is a government agency that regulates order securities industry. The SEC’s mission is to protect investors, maintain fairness, and orderly, and facilitate capital formation.

It enforces federal securities laws designed to promote full and fair disclosure of information about securities and protect investors against fraud. The SEC has the authority to investigate possible securities law violations and to bring civil or administrative enforcement actions against individuals or companies suspected of wrongdoing.

The SEC has several different functions; the following are some of the most important:

1) Enforcing the federal securities laws;

They are responsible for preventing, detecting, and investigating securities law violations. When they find evidence of a breach, they have the authority to bring civil or administrative enforcement actions against individuals or companies suspected of wrongdoing.

2) Regulating the securities industry;

The SEC oversees the activities of broker-dealers, investment advisers, mutual funds, and other participants in the securities industry. They work to ensure that these entities operate fairly and transparently.

3) Facilitating capital formation;

The SEC strives to promote access to capital for businesses and investors, which helps to create jobs and spur economic growth. One way they do this is by working to simplify and modernize the rules that govern the offering and sale of securities.

Things You Should Know and Do When SEC Investigates

If you are contacted by the SEC or any other regulator, it is important to seek experienced legal counsel immediately. An experienced attorney can help you navigate the investigation process and protect your rights.

Here are some things you should know and do if you are being investigated by the SEC:

1) Be prepared

When the SEC comes knocking, it is important to be prepared. This means having a team of experienced legal professionals in place who can help you navigate the investigation.

2) Cooperate

While you are not required to cooperate with the SEC, it is generally in your best interest to do so. Cooperation can often lead to a more favorable outcome for you.

3) Be honest

During the investigation, being honest with the SEC is essential. Lying or withholding information will only worsen things for you in the long run.

4) Know your rights

It is essential to know your rights during an SEC investigation. You have the right to remain silent and the right to an attorney. Exercise these rights if you are being questioned by the SEC.

5) Be proactive

If you are under investigation by the SEC, it is important to be proactive in your defense. This means staying one step ahead of the SEC and taking action to protect your rights and interests.

Conclusion

If you are contacted by the SEC or any other regulator, it is important to seek experienced legal counsel immediately. An experienced attorney can help you navigate the investigation process and protect your rights. It is also a smart move to know how the investigation work as stated on this page. Overall, the given tips above can help you through an SEC investigation.