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Securities
There are many types of securities misconduct, which may require individuals or companies to seek legal action or arbitration. Common claims include failure to hedge, theft, churning, unauthorized trading and selling away. Such misconduct can cost investors their savings, investments or retirement accounts. The Security and Exchange Commission (SEC) and the National Association of Security Dealers (NASD) regulate the securities industry. One of the tasks of the SEC is ensuring all investors have access to certain information about public companies. The SEC also brings civil action against companies or individuals found to participate in insider trading, accounting fraud or other misconduct. NASD works to protect investors through self-regulation of the securities industry. The NASD can impose sanctions against members who participate in misconduct.
Fast Facts
| Issue name: | Securities |
| Applicable law/agency: | Securities and Exchange Commission (SEC), National Association of Securities Dealers |
| Related topics: | Annuities, breach of fiduciary duty, churning, Edward Jones, failure to hedge, failure to supervise, improper use of margin, misrepresentation/omissions, overconcentration/failure to diversify, retirement plans, securities unsuitability, selling away, stock market losses, theft, unauthorized trading |
Please choose a legal issue for more:
- Annuities
- Breach of Fiduciary Duty
- Churning
- Edward Jones
- Equity Indexed Annuities
- Failure to Hedge
- Failure to Supervise
- Improper Use of Margin
- Misrepresentation/Omissions
- Overconcentration/Failure to Diversify
- Retirement Plans
- Securities Unsuitability
- Selling Away
- Stock Market Losses
- Theft
- Unauthorized Trading
