Rounding up the posse
Recent high-profile fraud investigations in the US have put the myriad of regulatory bodies in the spotlight like never before. Bruce Baird and David Martin guide you through the maze of US securities enforcement
Enron, WorldCom, Adelphia and other recent securities fraud investigations in the US have featured a bewildering array of actors with roles in regulating, suing or charging those alleged to be responsible. It is understandable if all but the most devoted observers are confused. This article is a guide to the players – federal, state, local, self-regulatory and private – who enforce securities laws in the US in one way or another. We will describe who they are, what they do and how they work with, and sometimes against, each other.
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