SEC Enforcement
Every SEC enforcement action against a public US issuer, classified by action type, cross-linked to the issuer's insider activity and recent 8-K filings. Niche-but-authoritative coverage of the regulatory layer most retail investors never see.
Why this surface exists
SEC enforcement actions are public-record signals that often precede stock-moving disclosures. An accounting restatement (8-K Item 4.02) typically follows weeks after the underlying AAER release; a §10(b) insider-trading prosecution often follows months of unusual Form 4 patterns. Surfacing both — and cross-linking them — lets investors see the full pattern instead of three disconnected feeds.
HoldLens is the only platform that cross-links SEC enforcement actions to the underlying issuer'sinsider trades,8-K material events, and13F superinvestor positioning.
Action types tracked
| Code | Action type | What it covers |
|---|---|---|
| AAER | Accounting & Auditing Enforcement Release | Financial-reporting fraud, accounting restatements, auditor misconduct |
| LR | Litigation Release | Civil enforcement actions filed in federal court |
| 33-Action | Securities Act §17(a) action | Anti-fraud provision violations in offer/sale of securities |
| 34-Action | Exchange Act §10(b) action | Insider trading, market manipulation, disclosure fraud |
| Admin-Proc | Administrative Proceeding Order | Cease-and-desist orders, industry bars, registration revocations |
| Whistleblower | Whistleblower Award Order | SEC §21F payouts to original-information sources |
Data source
Primary source: SEC's own enforcement releases at sec.gov/litigation — LR (Litigation Release), AAER (Accounting & Auditing Enforcement Release), and the SEC Administrative Proceedings docket. Each row on /enforcement/ links back to its source SEC filing by accession number for verification.
Status
Day-1: action-type taxonomy + cross-link infrastructure shipped. Day-2 (next ship): EDGAR enforcement-release scraper backfills 90 days of actions; populates per-issuer enforcement timeline pages. Day-3: EnforcementScore composite metric (severity × recency × repeat-violator multiplier) joining ConvictionScore + InsiderScore + EventScore as the fourth branded HoldLens signal.
Honest framing
Not every SEC enforcement action implies stock-moving severity — many are minor administrative matters or settled cases with token penalties. /enforcement/ surfaces ALL of them with action-type classification so the reader can filter to what matters to them. Per-issuer pages aggregate severity-weighted history rather than just count counts.
See disclaimer for the full not-investment-advice + 4-business-day filing-lag framing.
Related surfaces
Insider trading (Form 4) · Material events (Form 8-K) · Activist filings (13D/13G) · Methodology · Glossary