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The SEC enforcement process : practice and procedure in handling an SEC investigation in the Sarbanes-Oxley era

Author: Colleen P Mahoney; Bureau of National Affairs (Arlington, Va.)
Publisher: Washington, D.C. : Bureau of National Affairs, ©2007-[2011]
Series: Corporate practice series, no. 77-3rd.
Edition/Format:   Continually updated resource : Updating loose-leaf : EnglishView all editions and formats
Database:WorldCat
Summary:
" ... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees."
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Material Type: Updating loose-leaf
Document Type: Continually Updated Resource
All Authors / Contributors: Colleen P Mahoney; Bureau of National Affairs (Arlington, Va.)
ISBN: 9781558717510 155871751X
OCLC Number: 156944319
Notes: "Revises and supersedes CPS portfolio no. 77-2nd"--Cover.
Published: Arlington, VA, 2007-2011.
Description: 1 volume (loose-leaf) : forms ; 28 cm.
Contents: I. Introduction --
II. The SEC and its enforcement program --
III. Informal investigations --
IV. The formal order of investigation --
V. Disclosure issues in an SEC investigation --
VI. The internal investigation --
VII. Responding to requests for documents and information --
VIII. Testimony --
IX. Representing multiple witnesses: conflicts of interest and sequestration --
X. Parallel proceedings --
XI. Challenges to SEC investigations and subpoenas --
XII. The Wells process --
XIII. SEC administrative proceedings --
XIV. Federal court injunctive proceedings brought by the SEC --
XV. Remedies available to the SEC --
XVI. Discovery of information from the SEC --
XVII. Settlement discussions --
XVIII. Collateral consequences of an SEC action --
XIX. Avoiding an enforcement action: implementing and maintaining effective compliance --
Table of worksheets.
Series Title: Corporate practice series, no. 77-3rd.
Other Titles: Practice and procedure in handling an SEC investigation in the Sarbanes-Oxley era
Securities and Exchange Commission enforcement process
Practice and procedure in handling an SEC investigation after Sarbanes-Oxley
Responsibility: by Colleen P. Mahoney [and others].

Abstract:

" ... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees."

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