15 U.S.C. § 78ff
criminal penalty — '34 Act
all statutes
Securities

Imposes criminal penalties for willful violations of the Securities Exchange Act of 1934 or its rules, including false statements in required filings.

0
documents charge this statute
2
associated schemes
2
structural heuristics

Fraud schemes charged under this statute

Securities Fraud (general antifraud) observation

General antifraud conduct under Rule 10b-5 / § 17(a) — the catch-all securities-fraud category.

rule / inferenceMaterial misstatement or omission in connection with the purchase or sale of a security.
SEC filings 8-K10-K10-QForm 4
heuristicssec_staff_action
Accounting / Disclosure Fraud regex

Restatements, non-reliance announcements, auditor changes, and late filings that signal misstated financials.

rule / inferenceRestatement / non-reliance (8-K Item 4.02), auditor change (Item 4.01), or late-filing NT.
SEC filings 10-K10-Q8-K (4.02)8-K (4.01)NT 10-KNT 10-Q
heuristicslate_filer_cluster

What to look for in SEC filings

EDGAR form fingerprints across the associated schemes:

8-K10-K10-QForm 48-K (4.02)8-K (4.01)NT 10-KNT 10-Q
sec_staff_actionSEC staff-action footprint (trading suspension, delinquency, revocation).
late_filer_clusterCluster of NT / late periodic filings around the conduct window.

Documents citing this statute 0

No corpus documents matched this statute citation.

DB — FS —