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SEC Compliance and Enforcement Answer Book (2021 Edition)

Author(s): David M. Stuart
Practice Area: Disclosure (Securities and other financial products), Enforcement (Securities and other financial products), Litigation, Practice skills (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities litigation
Date: Jan 2021 i Other versions can be found in the Related Items tab.
ISBN: 9781402436062
PLI Item #: 293694

Written by leading former Staff of the SEC’s Division of Enforcement, SEC Compliance and Enforcement Answer Book provides essential insight into the practices and procedures of the SEC and provides sophisticated insight on the complex and extensive body of federal securities laws.

Leveraging the authors’ experience and expertise, the 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 become involved in an SEC investigation
SEC Compliance and Enforcement Answer Book also addresses issues on insider trading, accounting and securities fraud, market manipulation and foreign corruption, as well as special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

David M. Stuart is a partner in Cravath’s Litigation Department. He focuses on government and internal investigations, regulatory enforcement and compliance, and securities and derivative litigation. In the past several years, his engagements have involved issues related to financial reporting and disclosure, accounting restatements, improper payments and foreign corruption, insider trading, market manipulation, trade sanctions, whistleblower claims, cyber breaches and sexual harassment claims. He has appeared before the SEC, DOJ, U.S. Attorneys’ offices, state Attorneys General offices, PCAOB, CFTC, FINRA, and the New York Mercantile Exchange. Mr. Stuart has also conducted comprehensive reviews of corporate compliance programs and advised organizations on implementation of best practices in regulatory compliance. He participates in the Firm’s efforts related to blockchain and financial technology (FinTech).