The Enforcement Division of the Securities and Exchange Commission (SEC) is an important aspect of the corporate governance structure in the United States that is intended to protect investors. Locate the home page of the SEC by doing a general search on the title “Securities and
Exchange Commission,” and answer the following.
a. Identify the four divisions of the SEC.
b. Access the category “Enforcement Division,” and write a one-sentence description of the pur-pose of this division.
c. Access the subcategory “Investor Alerts,” and locate the SEC publication that deals with pump-and-dump schemes on the Internet.
d. Write a concise description of a pump-and-dump scheme, and list the suggestions of the SEC to investors to avoid these schemes.

  • CreatedApril 17, 2014
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