What Triggers an SEC Investigation? Each year, the SEC receives more than 20,000 tips, complaints and referrals. Nods come from many sources, including market surveillance activities, whistleblower tips, investor complaints, other divisions and offices of the SEC, self-regulatory organizations such as FINRA, and sometimes even news reports. So how does the Commission analyze this information … Continue reading From Suspicion to Certainty: How SEC Investigations Work