The Vast Reach of the SEC’s Authority

 The SEC aggressively enforces various federal statutes under its jurisdiction including the Securities Act of 1933, the Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, and the Foreign Corrupt Practices Act (“FCPA”). SEC proceedings can involve (1) civil actions where the Commission asks the court for a sanction from the violation or a remedy or (2) administrative actions where the Commission seeks sanctions before an administrative law judge ("ALJ"). If the securities law violation involves criminal conduct, the SEC often refers the case to the Department of Justice (“DOJ”) or the Federal Bureau of Investigation (“FBI”).

For more information visit #SEC subpoena. 

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