Settling with the SEC Checklist | Practical Law

Settling with the SEC Checklist | Practical Law

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Settling with the SEC Checklist

Practical Law Checklist w-028-6290 (Approx. 8 pages)

Settling with the SEC Checklist

by Practical Law Securities Litigation & White Collar Crime
MaintainedUSA (National/Federal)
A Checklist of key issues and considerations to help counsel before and during settlement negotiations with the SEC enforcement staff. The Checklist covers posturing for a favorable settlement during the investigation, understanding different types of resolutions, navigating around collateral consequences, and best practices for negotiating a settlement.