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Federal securities fraud is punishable with a large fine calculated based on the amount of money that was fraudulently obtained and/or a maximum period of incarceration of up to 25 years in prison: [18 U.S.C. Section 1348]
Corporate Counsel's Guide to Insider Trading and Reporting by
Call Number: KF 1073 .I5 I5725
Publication Date: 2019
Also available on Westlaw on the Franklin County Law Library's public computers.
Insider Trading : Regulation, Enforcement, and Prevention (Vols. 18 and 18A, Sercurities Law Series by
Current version only available on Westlaw on the Franklin County Law Library public computers.
Insider Trading under the Federal Securities Laws and other Insider Trading Restrictions by
Call Number: KF 6289 .A1 T35 no.309
Publication Date: Updated through 2018
Bloomberg Tax Management Portfolio
Law of Securities Regulation by
Call Number: KF 1439 .H39
Publication Date: 2017
Securities Fraud by
Call Number: KFO 458 .O38
Publication Date: 2006
Current version available from Westlaw on the Franklin County Law Library public computers.
Securities Law and Practice Deskbook by
Call Number: KF 1439 .S62
Securities Litigation and Enforcement in a Nutshell by
Call Number: Available as an ebook from FCLL website to FCLL card holders.
Publication Date: 2016
Securities Litigation: A Practitioner's Guide by
Call Number: KF 1439 .S38
US Securities and Exchange Commission (SEC)
Division of Enforcement. A federal case for securities fraud typically begins with an investigation by the Securities and Exchange Commission (SEC).In its regulatory role, the SEC has legal authority to compel production of records and other disclosures, enjoin market activity, and seek civil penalties such as fines. These functions are civil in nature and, as such, do not implicate a penalty of imprisonment for a violation of securities laws. However, the SEC can refer any alleged violation of securities laws over to the Department of Justice (DOJ) for criminal prosecution.
Digital and Digitized Assets: Federal and State Jurisdictional Issues
American Bar Association, Derivatives and Futures Law Committee, Innovative Digital Products and Processes Subcommittee
Jurisdiction Working Group, March 2019
FINRA (Financial Industry Regulatory Authority)
is a self-regulatory organization that oversees and regulates the actions of its members. Members of FINRA include exchange markets and brokerage firms. This private corporation used to be known as the National Association of Securities Dealers.
Lorenzo v SEC
3/27/19 Supreme Court rules that defendant can be charged w/violating federal law barring fraudulent securities schemes if he distributed, but did not make, false statements.