Or What Are the Different Types of Resolutions with SEC? ipter Resolutions Civil Injunctive Actions and Remedies In a civil injunctive action, SEC seeks a court order compelling the defendant to obey the law in the future. Violating such an order can result in civil or criminal con- proceedings that the professional be censured, suspended, tempt proceedings. Civil contempt sanctions, brought by or barred from practicing before SEC." SEC staff can seek SEC, are remedial rather than punitive in nature and serve an order from an administrative law judge requiring the one of two purposes: to compensate the party injured as a respondent to cease and desist from any current or future result of the violation of the injunction or force compliance violations of the securities laws. In addition, SEC can obtain with the terms of the injunction. disgorgement, pre-judgment interest, and civil money pen- Where a defendant has profited from a violation of alties in administrative proceedings under Section 21B law, SEC can obtain the equitable relief of disgorgement of the Exchange Act, and also can obtain other equitable of ill-gotten gains and pre-judgment interest and can also relief, such as enhanced remedial measures or the retention obtain civil money penalties pursuant to Sections 21(d) (3) of an independent compliance consultant or monitor. and 32(c) of the Exchange Act. SEC may also seek ancillary relief (such as an accounting from a defendant). Pursuant Deferred Prosecution Agreements to Section 21(d)(5), SEC also may seek, and any federal A deferred prosecution agreement is a written agree- court may grant, any other equitable relief that may be ment between SEC and a potential cooperating individual appropriate or necessary for the benefit of investors, such or company in which SEC agrees to forego an enforcement as enhanced remedial measures or the retention of an inde- action against the individual or company if the individual pendent compliance consultant or monit