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SEC Enforcement Toolkit
Practical Law Toolkit w-008-8324 (Approx. 7 pages)
SEC Enforcement Toolkit
by Practical Law Litigation
| Maintained • USA (National/Federal) |
Resources to help counsel effectively represent clients in SEC investigations and enforcement proceedings. This Toolkit contains resources focused on guiding clients through various stages of SEC investigations and defending clients in administrative and civil actions brought by the SEC.
The Securities and Exchange Commission (SEC) is the principal governmental agency tasked with implementing federal securities laws designed to protect the investing public against manipulative and fraudulent practices and maintain fair and efficient markets. The SEC's Division of Enforcement enforces securities laws.
In fulfilling its enforcement mandate, the SEC investigates entities and individuals it suspects violated securities laws. If the investigation reveals a violation, the SEC may bring civil charges either as an administrative proceeding or an action in a federal district court.
This Toolkit contains resources to help counsel represent clients in all stages of the SEC's investigation and enforcement process, including:
- Handling SEC investigations.
- Litigating in the SEC's administrative forum.
- Negotiating settlements with the SEC.