SEC Investigations of Individuals: Obtaining Cooperation Credit | Practical Law

SEC Investigations of Individuals: Obtaining Cooperation Credit | Practical Law

A Practice Note discussing the main factors the Securities and Exchange Commission (SEC) considers in settlement discussions post-investigation, when determining whether an individual is eligible for cooperation credit. This Note summarizes each of the main categories the SEC uses to measure an individual's cooperation and offers counsel tips and best practices for maximizing the likelihood of obtaining cooperation credit.

SEC Investigations of Individuals: Obtaining Cooperation Credit

Practical Law Practice Note w-040-8080 (Approx. 10 pages)

SEC Investigations of Individuals: Obtaining Cooperation Credit

by Practical Law Securities Litigation & White Collar Crime
MaintainedUSA (National/Federal)
A Practice Note discussing the main factors the Securities and Exchange Commission (SEC) considers in settlement discussions post-investigation, when determining whether an individual is eligible for cooperation credit. This Note summarizes each of the main categories the SEC uses to measure an individual's cooperation and offers counsel tips and best practices for maximizing the likelihood of obtaining cooperation credit.