Securities Enforcement Remedies Act

Cite this article as: Jason Mance Gordon, "Securities Enforcement Remedies Act," in The Business Professor, updated January 14, 2015, last accessed March 29, 2020,
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Securities Enforcement Remedies Act
This video explains what is the Securities Enforcement Remedies Act.

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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.

•    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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