Securities Enforcement Remedies Act - Explained
What are the Remedies?
Written by Jason Gordon
Updated at April 6th, 2023
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What 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?
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