Securities Law Enforcement Procedures & Actions

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 Focus 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

Cross-Border Anti-Fraud Law Enforcement Authority
Standards of Professional Conduct for Attorneys
Rules Relating to Investigations
Rules of Practice

FINRA Rules