The grounds for enforcement of a disciplinary sanctions to security professionals by US Commission on the Securities and Exchange

The article focuses on the analysis of the legal grounds for enforcement of disciplinary sanctions to security professionals in the U.S. For this purpose it is considered an appropriate legal acts which are the basis of an administrative legal mechanism of enforcement of disciplinary sanctions to security professionals and it is explored the SEC administrative practice in this area.

violation of the securities laws, disciplinary sanctions, the US Securities and Exchange Commission, securities market, professional participants of the U.S. securities market, disciplinary proceedings, undue professional conduction