Pennsylvania Code
Title 10 - BANKING AND SECURITIES
Part VII - Securities
Subpart E - Enforcement
Chapter 501 - CIVIL LIABILITIES
Section 501.011 - Criminal referrals
Universal Citation: 10 PA Code ยง 501.011
Current through Register Vol. 54, No. 12, March 23, 2024
(a) The Department may:
(1) Take action as it
considers necessary to institute a prosecution or obtain a conviction for
offenses as set forth in section 511 of the act (70 P.S. §
1-511).
(2) Refer the evidence as is available
concerning any violation of the act or of any rule or order thereunder or any
other applicable statute to the appropriate authorities, Federal and State, who
may, with or without the reference, institute appropriate criminal
proceedings.
(b) The act, and this part, do not limit the power of the Commonwealth to punish a person for conduct which constitutes a crime under any other statute.
The provisions of this § 501.011 amended under section 202.C of the Department of Banking and Securities Code (71 P.S. § 733-202.C); section 609(a) of the Pennsylvania Securities Act of 1972 (70 P.S. § 1-609(a)); and section 9(b) of the Takeover Disclosure Law (70 P.S. § 79(b)).
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