SEC / FINRA: Enforcement

Overview

This page provides an overview of the enforcement authority of the SEC and FINRA under the U.S. securities laws. It also provides information as to securities litigations and arbitrations. Finally, it provides information as to how firms may respond to enforcement actions. See also the Topic Pages on Anti-Money Laundering, Insider Trading, the Foreign Corrupt Practices Act, Sanctions and Whistleblowers.

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Securities Exchange Act

Securities Act

Advisers Act

Investment Company Act

FINRA Rules