Securities Laws & Regulations

Securities laws and regulations were enacted in response to widespread violations of investors trust through deceptive and meaningless disclosures by companies in the early 20th Century. Following the Stock Market Crash of 1929 and the resulting Great Depression, the U.S. Government enacted various securities laws and regulations as well as the Securities and Exchange Commission (SEC) to better ensure such violations did not continue to occur.

Some of the main laws and regulations governing the securities industry include:

• Securities Act of 1933
• Securities Exchange Act of 1934
• Sarbanes-Oxley Act of 2002
• Dodd-Frank Wall Street Reform and Consumer Protection Act
• SEC Rules and Regulations

Gibbs Law Group encourages persons who know about possible securities violation to contact the firm.

Under the SEC whistleblower laws promulgated under the Dodd-Frank Wall Street Reform and Consumer Protection Act, whistleblowers may be receive a reward of up to 30 percent of the recovery for information leading to a successful enforcement action by the SEC and are protected from employer retaliation. If you believe that you have information about a securities violation, please contact us by filling out the form at the right.