Recent S.E.C. enforcement cases

Article Abstract:

The SEC's Enforcement Division has become more active in securities litigation involving broker-dealer sales, the municipal bond market, mutual funds, and particular fraud schemes involving wireless cable TV and prime bank instruments. Other cases have focused on securities offerings violations, penny stock fraud, market manipulation, insider trading, disclosure and reporting violations, and other more traditional enforcement areas.

Securities industry

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Recent S.E.C. enforcement cases

Article Abstract:

The SEC Division of Enforcement stepped up its protection of investors in the 1990s by focusing on the municipal bond market, mutual funds, investment advisers, and securities broker-dealer sales. It also looked into prime bank instruments and wireless cable television deals. In the late 1990s, the division turned to combatting fraud on the Internet.

Surveys, Securities fraud

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Recent SEC enforcement cases

Article Abstract:

A report by the SEC Enforcement Division surveying 1997 cases is presented.

Reports

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