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Pennsylvania Code



501.011.    Criminal referrals.

§ 501.011. Criminal referrals.

 (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)).


   The provisions of this §  501.011 adopted May 10, 1974, effective May 11, 1974, 4 Pa.B. 916; transferred and renumbered from 64 Pa. Code §  501.011, December 14, 2012, effective December 15, 2012, 42 Pa.B. 7533; amended January 12, 2018, effective January 13, 2018, 48 Pa.B. 389. Immediately preceding text appears at serial page (364795).

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