SECURITIES FRAUD

SECURITIES FRAUD

Although seven federal statutes govern securities transactions, securities fraud is primarily regulated through the Securities Act of 1933 ("1933 Act") and the Securities Exchange Act of 1934 ("1934 Act"). Here, Governale et al examine the elements of a securities fraud offense,...

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Veröffentlicht in:The American criminal law review 2022-07, Vol.59 (3), p.1339
Hauptverfasser: Governale, Adam, Keenan, Meredith, Singhal, Peter, Debouter, Kenton, Leatherwood, Margaret, Hogan, Nathan
Format: Artikel
Sprache:eng
Schlagworte:
Fines & penalties
SEC regulations
Securities fraud
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Zusammenfassung:Although seven federal statutes govern securities transactions, securities fraud is primarily regulated through the Securities Act of 1933 ("1933 Act") and the Securities Exchange Act of 1934 ("1934 Act"). Here, Governale et al examine the elements of a securities fraud offense, and describe common defenses. They highlight penalties for a securities fraud offense.
ISSN:0164-0364