Is an SEC Rule 10b-5 violation a civil or criminal crime?
SEC Rule 10b-5 violations can result in civil or criminal penalties, or both. SEC Rule 10b-5 governs the selling and buying of shares and securities across the US public market. Here’s a quick guide. What is SEC Rule 10b-5? Rule 10b-5 is a regulation from the US Securities and Exchange Commission (SEC) that makes it …
Is an SEC Rule 10b-5 violation a civil or criminal crime? Read More »