Securities Law

It is essential that our financial and economic market provide full disclosure when it comes to transactions and corporate operations. Both federal and state laws govern all areas of issuance, sale and purchase of stocks and securities. A securities lawsuit may result if federal or state securities laws are violated.

United States Securities and Exchange Commission

The Securities and Exchange Commission (SEC) was formed in 1934 by the U.S. Congress in order to regulate the stock market and prevent corporate abuses relating to the offering and sale of securities and corporate reporting. With the power to license and regulate stock exchanges, the Securities and Exchange Commission administers six major laws that govern the securities industry. They include:

The Securities Act of 1933
The Securities Exchange Act of 1934
The Trust Indenture Act of 1939
The Investment Company Act of 1940
Investment Advisers Act of 1940
Sarbanes-Oxley Act of 2002

Securities Violations

There are defining regulations that issuers of securities must follow in regards to disclosing information that may affect the value of an investment. Generally Accepted Accounting Principles (GAAP) must be followed and knowledge gained from within a company must not be used to a tool against other investors. Actions such as fraud, insider trading, or market manipulation all constitute securities violations that are punishable by law.

The type of legal action taken arising from an investor’s claim may differ, and may take place in a federal or state court. A claim may proceed to court as a class action case or as arbitration. An investor may not have a choice as to which format their claim will be brought to court. Contact a Securities Law attorney if you have a claim regarding a securities violation.

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