May the enforcers be with you
The complex web of regulatory bodies in the US has been thrown into sharp relief by recent high-profile fraud investigations such as Enron and WorldCom. Here Bruce Baird and David Martin give a breakdown of the roles played by the securities enforcement players
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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