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- A Matter Under Inquiry (MUI, pronounced "muey", sometimes called Matter Under Investigation) is a term used by the United States Securities and Exchange Commission to describe preliminary investigations it makes into alleged financial fraud in the companies that it is responsible for regulating. MUIs may lead to more serious formal investigations, or they may be closed and no further action taken. The procedures and rules for when and how to open and close MUIs are described in the agency's Enforcement Manual (which was first published in 2008), as well as other SEC memorandum In the 2000s (decade) era, any MUI that was not cancelled, automatically became an 'informal investigation' after a certain period of time. The American Spectator published an article in 2006 by Peter Wallison criticizing this practice, and arguing that it was too difficult for SEC employees to close investigations that it deemed unwarranted. MUIs are tracked in the SEC's computerized Case Activity Tracking System (CATS). Some information related to MUIs may also exist or have existed in the past in other SEC computer systems, such as the Super Tracking and Reporting System "STARS", the Name Relationship Search Index (NRSI), and the "Hub". (en)
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- After you have closed a MUI that has not become an investigation... you should dispose of any documents obtained in connection with the MUI (en)
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- Instructions to SEC employees on an SEC intranet (en)
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- A Matter Under Inquiry (MUI, pronounced "muey", sometimes called Matter Under Investigation) is a term used by the United States Securities and Exchange Commission to describe preliminary investigations it makes into alleged financial fraud in the companies that it is responsible for regulating. MUIs may lead to more serious formal investigations, or they may be closed and no further action taken. (en)
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- Matter Under Inquiry (en)
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