Securities Enforcement Remedies Act - Explained
What are the Remedies?
Written by Jason Gordon
Updated at July 2nd, 2021
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Table of Contents
What is liability pursuant to the Securities Enforcement Remedies Act?Discussion QuestionAcademic ResearchWhat is liability pursuant to the Securities Enforcement Remedies Act?
The Securities Enforcement Remedies Act provides for additional civil liability for defendants found to have violated the securities laws. A judge may impose fines of up to $500,000 per institution and $100,000 per individual. This can also lead to a court prohibiting an individual from serving as an officer or director of a corporation.
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Discussion Question
Why do you think congress decided to augment the level of civil fine or penalty associated with securities law violations?