The Securities and Exchange Commission

| March 30, 2017

Question
200 – 250 words

The Securities and Exchange Commission (SEC) is responsible for overseeing the securities markets and enforcing federal securities legislation. Therefore, the SEC brings civil lawsuits against individuals who are accused of violating one or more securities laws, regulations, or rules.

Visit the Securities and Exchange Commission’s litigation website athttp://www.sec.gov/litigation/litreleases.shtml and choose a litigation release of a recent case. There are numerous to choose from.

Be sure you insert your litigation release number, date, and action name in the subject bar of your post.

In your initial post, please provide a brief summary of the release and discuss the following questions:

What rule or regulation was violated?What did the individual do that violated that rule or regulation?What did you learn from examining the reasoning in the court’s decision about the release you chose? How did it help you to better understand what you learned about the rules governing the trading of securities?

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