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SEC Compliance and Enforcement Answer Book (2016 Edition)

Author(s): David M. Stuart
Practice Area: Corporate & Securities
Date: Jun 2016 i Previous editions(s) can be found in the Related Items tab.
ISBN: 9781402426353
PLI Item #: 170223

SEC Compliance and Enforcement Answer Book answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws.

Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division.

Leveraging the authors’ experience and expertise, SEC Compliance and Enforcement Answer 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 becomes involved in an SEC investigation

Additionally, SEC Compliance and Enforcement Answer Book answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.