Close X

Anti-Fraud Rules

Anti-Fraud Rules

  • Term

    Main definition

  • Anti-Fraud Rules

    Anti-fraud rules are a kind of laws, rules and regulations that prohibit commission or omissions that constitute fraud or similar conduct in connection with a securities transaction.

    Anti-fraud rules are a very significant and important portion of the rules promulgated under federal and state securities laws and enforced, respectively, by federal and state securities regulators.  Each of the federal and the state anti-fraud rules apply to virtually all securities transactions regardless of whether the securities are registered or unregistered, qualified or unqualified, or exempt from, federal and state securities laws concerning registration and qualification of securities.  These anti-fraud rules prohibit, among other things, acts of fraud or concealment in connection with the offer and sale of securities.  Anti-fraud rules provide for penalties and remedies in the event of the fraud that it prohibits, which includes making material misstatements or making material omissions (omission of material information is wrongful if the material information is necessary in order to make another statement be not misleading in light of the circumstances in which it was made.

Contact us Today

The Nick Yocca Law Firm is committed to answering your questions regarding business law, corporate compliance, and other important legal matters in Orange County.

We'll gladly discuss your case with you at your convenience. Contact us today to schedule an appointment!