Presentation: Securities Laws Overview

Part 2 of a 6-part series entitled “Whistleblowing in the Corporate World Series”
This is a six-part presentation series hosted by West Legal Edcenter, part of Thomson Reuters.
Presenter: Jordan A. Thomas

When deciding whether, when and how to report a possible securities violation, there is no substitute for securities knowledge and experience. This presentation was designed to help potential whistleblowers and other interested parties to determine whether a violation of the federal securities laws has occurred, assess the significance of the violation, and evaluate the probability of a successful SEC enforcement action. To learn more, see our Securities Law Primer.

The genius of the Dodd-Frank Wall Street Reform and Consumer Protection Act is that it recognized that law enforcement authorities cannot effectively and efficiently police the financial marketplace without the assistance of private individuals and entities. The reality is that securities fraud schemes are often difficult to detect and prosecute without inside information or assistance from participants in the scheme or their associates. Furthermore, given the extreme fiscal constraints that the SEC operates under and the vast scope and complexities of the markets, products and transactions it regulates, the SEC must increasingly rely upon individuals to report possible securities violations.

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What You Will Hear:

• Overview of the laws governing the securities industry
• The statute of limitations for SEC enforcement actions
• The importance of establishing materiality in SEC enforcement actions
• Common securities violations
• Available remedies in successful enforcement actions
• Tips for potential SEC whistleblowers