Series 26: Money Penalties In Civil Actions

Taken from our Series 26 Online Guide

Money Penalties in Civil Actions

Whenever any person violates any securities rule or regulation, the SEC may bring a court action to impose an injunction or restraining order on the violator without bond.

In a civil action, the court may impose a monetary fine on the perpetrator. If the violation involves fraud, deceit, manipulation, or deliberate or reckless disregard of a regulatory requir

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