Exchange Act s.15(c)

Covers broker-dealer conduct: it bans manipulative and deceptive devices by brokers and dealers and authorises the rules on their finances and controls. 10 records cite it, filed 2013 to 2021.

United States · Securities Exchange Act of 1934 · 15 U.S.C. 78o(c)

Official text: 15 U.S.C. 78o (LII)

Counts

By year filed

2013: 3
2014: 2
2016: 2
2017: 1
2018: 1
2021: 1

By agency

SEC: 10

By status

Settled: 9
Judgment entered: 1

Technique mix

Most recent matched records

SEC v. Keith A. Wakefield (unauthorized trading and fictitious commissions, 2021) (2021-10-01)
SEC v. Delaney Equity Group LLC, David C. Delaney and Ian C. Kass (reverse merger schemes, 2018) (2018-08-29)
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2017) (2017-04-26)
SEC v. Byron B. Barkley and Paul N. Davis (naked short selling debate, 2016) (2016-12-16)
SEC v. Wilson-Davis & Company, Inc. (naked short selling debate, 2016) (2016-12-16)
SEC v. Wedbush Securities Inc., Jeffrey Bell and Christina Fillhart (market access controls, 2014) (2014-11-20)
SEC v. New York Stock Exchange LLC and others (2014) (2014-05-01)
SEC v. Knight Capital Americas LLC (2013) (2013-10-16)
SEC v. Bogar, Young and Green (ponzi schemes, 2013) (2013-08-02)
SEC v. NASDAQ Stock Market, LLC and NASDAQ Execution Services, LLC (2013) (2013-05-29)

All 10 matched records

What this does not show

These are statutes cited in the record's document where it charges, finds or alleges a violation, not necessarily proven ones. Dismissed and pending matters count as alleged. A release that names no section is not matched, so counts understate use of this provision. The plain-language meaning is a summary, not legal advice.