Securities Fraud Part I
Learn about securities fraud and its prosecution under various securities laws and the Sarbanes-Oxley Act (SOX).
Transcript
Two statutes authorize comprehensive federal regulation of the securities industry. The Securities Act of 1933, or the Securities Act, regulates the new-issue or primary securities market. The statute requires securities issuers to file a registration statement with the Securities and Exchange Commission, or SEC, and provide investors with a prospectus disclosing detailed information about the securities. The Securities and Exchange Act of 1934, or the Exchange Act, regulates the secondary or...
