Section 17(a)(1) of the Securities Act of 1933 – 15 U.S.C. Sec. 77q(a)(1— - Fraud In the Offer and Sale of a Security Through A Device, Scheme, or Artifice to Defraud — SEC Version, is a federal law that prohibits the fraudulent offer or sale of securities. This law makes it a criminal offense for any person or entity to use any device, scheme, or artifice to defraud, or to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the offer, sale, or purchase of any security. Under this law, the SEC has the authority to take action against any perpetrator of securities fraud, which includes imposing civil penalties on those found to have engaged in securities fraud. The SEC can also bring civil enforcement actions against those who have violated Section 17(a)(1) of the Securities Act of 1933. The types of Section 17(a)(1) of the Securities Act of 1933 – 15 U.S.C. Sec. 77q(a)(1— - Fraud In the Offer and Sale of a Security Through A Device, Scheme, or Artifice to Defraud — SEC Version, include insider trading, market manipulation, false and misleading statements, omissions, inadequate disclosure, fraud by accountants or other professionals, and other fraudulent activities. All of these activities are prohibited by Section 17(a)(1) of the Securities Act of 1933.
Section 17(a)(1) of the Securities Act of 1933 - 15 U.S.C. Sec. 77q(a)(1) - Fraud In the Offer and Sale of a Security Through A Device, Scheme, or Artifice to Defraud - SEC Version
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