Financial Misrepresentation Data

The Financial Misrepresentation data contains all SEC and DOJ enforcement actions that include violations of the Securities Exchange Act of 1934 ยง 78.13(b)(2)(A), 78.13(b)(2)(B) and 78.13(b)(5) and Code of Federal Regulations CFR 240.13b2-1 and 240.13b2-2 through the end of the last calendar year. Realted enforcement proceedings are grouped together to form a single observation in the Actions table. Each Action has a unique ActionID that identifies corresponding entries in the Events, Respondents and Violations tables. Please refer to the documentation for structure and data field descriptions.

For additional information see A Critical Analysis of Databases Used in Financial Misconduct Research by Karpoff, Koester, Lee and Martin.


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