Browse by statute
1,833 of 2,428 records cite at least one of the 39 statutes and rules below in a sentence that charges, finds or alleges a violation. Many regulator releases name no section at all, so a record with no entry here is not a record with no statute.
| Statute or rule | Jurisdiction | Records | Years filed |
|---|---|---|---|
| Exchange Act s.10(b) and Rule 10b-5 | United States | 1,331 | 2005 to 2026 |
| Securities Act s.17(a) | United States | 814 | 2005 to 2026 |
| Securities Act s.5 | United States | 428 | 2004 to 2026 |
| Advisers Act s.206 | United States | 182 | 2011 to 2026 |
| Exchange Act s.15(a) | United States | 166 | 2013 to 2026 |
| Exchange Act s.14(e) and Rule 14e-3 | United States | 125 | 2014 to 2026 |
| Regulation M Rule 105 | United States | 87 | 2013 to 2025 |
| Exchange Act s.9(a)(2) | United States | 64 | 2014 to 2026 |
| Exchange Act s.13(a) | United States | 61 | 2012 to 2026 |
| Securities Act s.17(b) | United States | 58 | 2004 to 2026 |
| Exchange Act s.13(d) and 13(g) | United States | 37 | 2009 to 2024 |
| Regulation SHO (Rules 203 and 204) | United States | 37 | 2013 to 2025 |
| Exchange Act s.9(a)(1) | United States | 33 | 2015 to 2025 |
| Exchange Act s.16(a) | United States | 31 | 2009 to 2026 |
| Advisers Act s.204A | United States | 25 | 2013 to 2024 |
| Corporations Act s.1043A | Australia | 25 | 2016 to 2026 |
| Exchange Act s.20(a) | United States | 24 | 2015 to 2026 |
| CEA s.4c(a)(5)(C) (spoofing) | United States | 19 | 2017 to 2022 |
| Ontario Securities Act s.76 | Canada (Ontario) | 15 | 2013 to 2025 |
| Corporations Act s.1041A | Australia | 14 | 2014 to 2024 |
| Corporations Act s.1041B | Australia | 14 | 2014 to 2025 |
| Ontario Securities Act s.126.1 | Canada (Ontario) | 14 | 2013 to 2022 |
| 18 U.S.C. 371 (conspiracy) | United States | 12 | 2011 to 2024 |
| 18 U.S.C. 1343 (wire fraud) | United States | 11 | 2007 to 2021 |
| Exchange Act s.15(c) | United States | 10 | 2013 to 2021 |
| Exchange Act s.32(a) (15 U.S.C. 78ff) | United States | 10 | 2013 to 2024 |
| CEA s.4c(a) and Regulation 1.38 | United States | 9 | 2013 to 2017 |
| FSMA 2000 s.118 (market abuse) | United Kingdom | 9 | 2013 to 2020 |
| Exchange Act s.20(e) | United States | 7 | 2014 to 2024 |
| 18 U.S.C. 1341 (mail fraud) | United States | 6 | 2013 to 2019 |
| Market Access Rule (Rule 15c3-5) | United States | 5 | 2013 to 2017 |
| Market Abuse Regulation art.14 | United Kingdom | 5 | 2022 to 2026 |
| 18 U.S.C. 1348 (securities fraud) | United States | 3 | 2016 to 2024 |
| 18 U.S.C. 1349 (attempt and conspiracy) | United States | 3 | 2017 to 2022 |
| Corporations Act s.1041G | Australia | 3 | 2020 to 2024 |
| Market Abuse Regulation art.15 | United Kingdom | 3 | 2020 to 2023 |
| CEA s.6(c)(1) and Regulation 180.1 | United States | 2 | 2013 to 2024 |
| CEA s.9(a)(2) | United States | 2 | 2013 to 2017 |
| CEA s.6(c)(3) | United States | 1 | 2013 |
What this does not show
A match means the record's document cites the statute where it charges, finds or alleges a violation. It is not proof of a violation: pending, dismissed and settled matters all count as alleged. Matching is by explicit citation, checked by AI agents and not by a lawyer, and records that cite no section are left out rather than guessed.