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Securities Enforcement Remedies Act

48. 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.

•    Discussion: Why do you think congress decided to augment the level of civil fine or penalty associated with securities law violations?

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