manipulative or deceptive device

A summary of securities fraud

December 27, 2010
Thumbnail image for A summary of securities fraud

A federal case for securities fraud typically begins with an investigation by the Securities and Exchange Commission (SEC). The SEC is responsible for regulating financial markets through the enforcement of two federal acts: Securities Act of 1933. This act requires generally that all securities offered for sale must be registered. The seller must provide registration […]

Read the full article →