Question

Discuss in a short paragraph the procedure the SEC uses when it suspects misconduct of a complaint?

Answer 1

Discuss in a short paragraph the procedure the SEC uses when it suspects misconduct of a complaint?

Misconduct of complaints include following activity :

1. Whistleblower Policy – The Act establish that under this program SEC ( Securities and Exchange Commission )to pay award , under regulation prescribed by SEC , to eligible whistle blower who voluntarily provide the SEC with original information about violation.

The Act provides that information provided to the Commission in writing by a Whistleblower shall not lose the status of Original information .

After filled up from , team will evaluate the information and refer to the appropriate SEC office . Attorney in the Division of Enforcement evaluate information concerning violation of the federal securities law .

SEC generally conduct this investigation on a confidential basis tp maintain integrity of the investigation process .

At present there are several ways to reach SEC to file complaint –

1. Either through Online Form – by Electronic mode
2.    Spams- Report investment related spam e mail . need to fill up electronic mode online form
3. Question – Need to fill up questions about federal securities laws and Investment

Investigating by SEC are conducted confidentiality to protect evidence and reputation. An investigation become public when the SEC files an action in court or through an administration proceedings