Securities Laws

Common Securities Violations

Market Events

“Market events” refer to disruptions or aberrations in the securities markets, such as an unexpected interruption in trading on a securities exchange, a liquidity crisis or a “flash crash.”

While not all such market events represent securities violations, the SEC has brought enforcement actions against exchanges and related entities where the market event was caused or exacerbated by the exchange’s failure to follow relevant SEC or internal rules. The SEC and other federal agencies conduct surveillance of trends and dealer and investor positions to help determine whether market events are indicative of fraudulent activities.

In recent years, on average, 3.2% of all SEC whistleblower tips have involved this type of securities violation.

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