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The SEC enforcement process : practice and procedure in handling an SEC investigation / by Colleen P. Mahoney [and others].
Mahoney, Colleen P., 1957-; Bureau of National Affairs (Arlington, Va.)
2014
KF1414.A1 C67 no.77 (Map It)
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Title
The SEC enforcement process : practice and procedure in handling an SEC investigation / by Colleen P. Mahoney [and others].
Published
Arlington, VA : Bureau of National Affairs, [2014-]
Copyright
©2014-
Call Number
KF1414.A1 C67 no.77
ISBN
9781558717862
1558717862
Description
volumes (loose-leaf) : forms ; 28 cm.
Frequency
Updated irregularly
System Control No.
(OCoLC)697315442
Summary
"... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees. This portfolio also examines related issues, including disclosure of an SEC investigation and issues arising out of parallel civil and criminal inquiries"--Portfolio description sheet (p. iii).
Note
Kept up to date with replacement pages.
"Revises and supersedes CPS Portfolio Number 77-4th"--Cover.
Bibliography, etc. Note
Includes bibliographical references (pages C1-C7).
Indexes
Included in Corporate practice series' Master index.
Series
Corporate practice series ; no. 77.
Available in Other Form
Online version: SEC enforcement process. Arlington, VA : Bureau of National Affairs, c2007- (OCoLC)59756872
Continues
SEC enforcement process. Washington, D.C. : Bureau of National Affairs, c2007-[2011] 9781558717510 (OCoLC)156944319
Record Appears in
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Portion of Title
Practice and procedure in handling an SEC investigation
Added Author
Mahoney, Colleen P., 1957-
Added Corporate Author
Bureau of National Affairs (Arlington, Va.)
Introduction
The SEC and its enforcement program
Informal investigations
The formal order of investigation
Disclosure issues in an SEC investigation
The internal investigation
Responding to requests for documents and information
Testimony
Representing multiple witnesses: conflicts of interest and sequestration
Parallel proceedings
Challenges to SEC investigations and subpoenas
The Wells process
SEC administrative proceedings
Federal court injunctive proceedings brought by the SEC
Remedies available to the SEC
Discovery of information from the SEC
Settlement discussions
Collateral consequences of an SEC action
Avoiding an enforcement action: implementing and maintaining effective compliance
Table of practice tools.

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