Written by leading former Staff of the SEC’s Division of Enforcement, SEC Compliance and Enforcement Answer Book provides essential insight into the practices and procedures of the SEC and provides sophisticated insight on the complex and extensive body of federal securities laws.

Leveraging the authors’ experience and expertise, the book provides nuts and bolts guidance on:

  • Conducting an effective internal investigation – while the SEC is simultaneously investigating
  • Responding to SEC requests and subpoenas for documents, interviews, and testimony
  • Cooperating effectively with SEC staff
  • The Wells process, negotiating resolutions, and litigating with the SEC
  • The complexities that arise when criminal and international law enforcement authorities become involved in an SEC investigation
SEC Compliance and Enforcement Answer Book also addresses issues on insider trading, accounting and securities fraud, market manipulation and foreign corruption, as well as special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.
Publication Date: January 2021
ISBN: 9781402436062
Page Count: 1,050 pages
Number of Volumes: 1

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