Investigations: SEC Wells Submission | Practical Law

Investigations: SEC Wells Submission | Practical Law

A Wells submission form defense counsel may submit in response to the Securities and Exchange Commission's (SEC) enforcement staff's Wells Notice to an entity or individual. A Wells submission, which counsel may submit after the conclusion of the investigation, is a voluntary response which presents arguments against the staff's charging recommendation. This Standard Document has integrated notes with important explanations and drafting tips.

Investigations: SEC Wells Submission

Practical Law Standard Document w-038-8234 (Approx. 10 pages)

Investigations: SEC Wells Submission

by Practical Law Securities Litigation & White Collar Crime
MaintainedUSA (National/Federal)
A Wells submission form defense counsel may submit in response to the Securities and Exchange Commission's (SEC) enforcement staff's Wells Notice to an entity or individual. A Wells submission, which counsel may submit after the conclusion of the investigation, is a voluntary response which presents arguments against the staff's charging recommendation. This Standard Document has integrated notes with important explanations and drafting tips.