Investigations are conducted by:
When violations are detected, enforcement actions are taken as appropriate.
Section 105 of the Sarbanes-Oxley Act of 2002 gives the PCAOB broad investigative and disciplinary authority over registered firms and their associated persons.
The SEC's enforcement staff conducts investigations into possible violations of the federal securities laws and prosecutes the SEC's civil suits in the federal courts and in administrative proceedings.
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Published on April 06, 2010