Securities Law (U.S. and International) Research Guide

This guide is a starting point for research in securities law, covering U.S. federal, U.S. state, international, and foreign securities law.

Securities Enforcement & Case Law

The SEC enforces federal securities laws by conducting investigations, adjudicating administrative proceedings, and pursuing civil and criminal matters before the courts.

Administrative Proceedings

The SEC has statutory authority to act as a quasi-court in matters relating to violations of its regulations. When the SEC acts as a quasi-court, it does so through an administrative law judge (ALJ). ALJ decisions may be appealed to the Commissioners themselves, and ultimately to a United States Court of Appeals.