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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

Crime

Online Sources

Case Law

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.

Definition

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.