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Securities Litigation and Enforcement: Public Enforcement
This guide presents an overview of securities litigation and enforcement including class actions, insider trading and resources for current topics
This site includes: Financial Crimes Report to the Public; Financial Institution Fraud and Failure Reports; Insurance Fraud: Program Overview and Consumer Information; Mass Marketing Fraud: Awareness and Prevention Tips
Mortgage Fraud Reports; National Money Laundering Strategy (pdf); Securities Fraud: Awareness and Prevention Tips
The Securities Enforcement Empirical Database (SEED) tracks and records information for SEC enforcement actions filed against public companies traded on major U.S. exchanges and their subsidiaries. Created by the NYU Pollack Center for Law & Business in cooperation with Cornerstone Research, SEED facilitates the analysis and reporting of SEC enforcement actions through regular updates of new filings and settlement information for ongoing enforcement actions. The variables tracked include defendant names and types, violations, venues, and resolutions.
This private consulting firm provides a number of publications including articles, research, reports and case studies on class actions and other securities issues including: SEC Enforcement Activity against Public Companies and Their Subsidiaries.
Civil and criminal public enforcement case law can be found in the various databases of case law available to law students including subsections specifically devoted to securities cases, for example, CCH Federal Securities Law Reporter, West's Key number: 349B SECURITIES REGULATION OFFENSES AND PROSECUTIONS, k191-k210 and Lexis: Lexis Advance: Cases: Practice Area: Securities Law.
Bloomberg Law contains similar content to Westlaw Edge and Lexis Advance, including case law and analytical material. It also contains PACER dockets.
This subscription is available by login and password and limited to College of Law students and Faculty. To obtain login credentials, go to https://profile.bna.com/bloomberglaw-activate/ Limited access is also available on-campus.
Source of primary and secondary authority and analysis with a focus on regulatory agency materials and secondary sources.
The public enforcement of securities laws and rules is handled by the SEC. The SEC conducts investigations and adjudicates administrative proceedings presided over by an Administrative Law Judge. The ALJ's decisions can be appealed to the SEC's commissioners and finally to the courts.
The SEC posts on its website reports of investigations, notices and settlements of administrative proceedings, commission opinions and adjudicatory actions and notices of litigation.