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Enhanced SEC Enforcement search now live on Securities Mosaic

December 11, 2019

This morning, we unveiled a new-look SEC Enforcement search page, which includes numerous upgrades and enhancements.  Customers have long asked for the ability to search on a specific statute or rule allegedly violated by a defendant, and with the newly redesigned tool, now they can do just that.  They can also search for enforcement actions overseen by a specific Administrative Law Judge, or search for specific document titles.  Additionally, we now aggregate all enforcement releases that are part of a common enforcement action, so you no longer have to wonder which documents associated with a given defendant are part of which case.

Use the enhanced SEC Enforcement search page for the following tasks, among others.

  • Perform due diligence on individuals or companies to see if they have been involved in any SEC enforcement actions
  • Benchmark trends in enforcement, including the assessment of penalties and other relief, for specific types of violations and scenarios
  • Use this information to counsel clients in the following ways:
    • Perform a risk assessment of a client’s contemplated action, to determine the likelihood and severity of potential enforcement
    • Advocate for clients who are already in trouble, knowing what enforcement remedies are standard for that violation based on existing precedent

Questions?  Contact our Research Support team at or by calling us at 888-925-8627.

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