COMMONLY USED STATUES
Federal securities laws are embodied in seven statutes. Most criminal prosecutions involving securities violations have been brought pursuant to two of these statutes. The Securities Act of 1933 and the Securities and Exchange Act of 1934. In addition, offenses in which the core conduct is securities, prosecutors have also utilized the Mail and Wire Fraud statutes as well as the False Statement statute. It is also important to note that securities fraud is considered a predicate offense under the RICO statute.
Securities Act of 1933, 17 (a), 15 U.S.C. 77q(a)
Securities and Exchange Act of 1934, 10(b), U.S.C. 78j(b)
Rule 10b-5 17 C.F.R. 240. 106-5
Mail Fraud - Title 18, U.S.C. Section 1341
Wire Fraud - Title 18, U.S.C. Section 1343
False Statements - Title 18, U.S.C. Section 1001
Conspiracy - Title 18, U.S.C. Section 371
Racketeering - Title 18, U.S.C. Section 1956 |
