• Criminal Enforcement of the U.S. Securities Laws
  • March 17, 2008 | Authors: Ronald W. Breaux; Daniel H. Gold
  • Law Firm: Haynes and Boone, LLP - Dallas Office
  • The United States securities laws are enforced through both civil and criminal actions. On the civil side, the Securities and Exchange Commission ("SEC") has broad investigative powers and can bring civil enforcement actions seeking monetary penalties, injunctions, bars against serving as a director or officer of a public company, and other civil remedies. The SEC's civil enforcement is supplemented by the activities of self-regulatory organizations such as the major stock exchanges, state securities regulators, and private litigants.