The Office of International Affairs has used the materials in this section as educational and training materials in past training programs, and may also use them in future programs. Materials authored by individual members of the Commissionís staff reflect the views of the author, and not necessarily the views of the Commission, individual Commissioners, or the Commission staff. The selection of materials furnished by non-federal persons or entities does not necessarily imply Commission endorsement of the materials, any legal or policy positions stated in them, or their source. Additional training materials will be added as they become available.
Certain of the selected materials may contain, refer to, or explain particular statutes, rules, regulations, orders, and interpretations. These are subject to change, and you should rely only on the actual statutes, rules, regulations, orders, and interpretations that are currently in force. If you have questions concerning the meaning, application, or status of a particular statute, rule, regulation, order, or interpretation, you should consult with an attorney who specializes in securities law.
Overview of SEC's Enforcement Program and Market Oversight Resources
Goals and Objectives of an Effective Enforcement Program
Cooperation between Civil and Criminal Authorities
- Thomas C. Newkirk, Assoc. Dir., and Ira L. Brandiss, Staff Attorney, Div. of Enforcement, U.S. SEC, The Advantages of a Dual System: Parallel Streams of Civil and Criminal Enforcement of the U.S. Securities Laws, Remarks at the 16th International Symposium on Economic Crime, Jesus College, Cambridge, England (September 19, 1998).
Cooperation with the SEC
Sanctions Against Company Officers & Management
Role of Self Regulatory Organizations
Market Surveillance Systems: Techniques & Enforcement
Investigating Financial Fraud By Issuers
- L. Hilton Foster, Sr. Attorney, Div. of Enforcement, U.S. SEC, Insider Trading Investigations (September 2000).
- Selective Disclosure and Insider Trading (Final Rule), Exchange Act Release Nos. 33-7881, 34-43154 (August 21, 2000).
- Thomas C. Newkirk, Assoc. Dir., and Melissa A. Robertson, Senior Counsel, Div. of Enforcement, U.S. SEC, Insider Trading - A U.S. Perspective, Remarks at the 16th International Symposium on Economic Crime, Jesus College, Cambridge, England (September 19, 1998).
- Hearing Before the S. Comm. on the Judiciary, 109th Cong. (2006) (testimony of Linda Chatman Thomsen, Dir., Div. of Enforcement, U.S. SEC) (regarding insider trading).
- SEC v. Sonja Anticevic et al., 05 Civ. 6991 (KMW) (S.D.N.Y.), Litigation Release No. 17528, (April 11, 2006).
Pyramid Schemes & Offering Fraud
- Press Release, Securities & Exchange Commission, SEC Charges 81 Defendants in Telemarketing Stock Fraud Schemes, (August 6, 2002).
- SEC v. Millennium Financial, Ltd., et al., Civil Action No. 02 CV 3901 (MBM) (S.D.N.Y.) (filed May 22, 2002), Litigation Release No. 19650, (May 22, 2002)
Foreign Corrupt Practices Act
International Enforcement Cooperation
Administrative Law/Adjudication Procedures