Investigations: Letter Accompanying the Production of Documents to a Securities Regulator | Practical Law

Investigations: Letter Accompanying the Production of Documents to a Securities Regulator | Practical Law

A sample letter by outside counsel to a securities regulator accompanying production of documents in response to a subpoena or Request for Information (RFI). The letter describes the content of the production, memorializes any verbal agreements, and requests confidential treatment. This Standard Document has integrated notes with important explanations and drafting tips.

Investigations: Letter Accompanying the Production of Documents to a Securities Regulator

Practical Law Standard Document 5-591-2425 (Approx. 11 pages)

Investigations: Letter Accompanying the Production of Documents to a Securities Regulator

by Practical Law Litigation
MaintainedUSA (National/Federal)
A sample letter by outside counsel to a securities regulator accompanying production of documents in response to a subpoena or Request for Information (RFI). The letter describes the content of the production, memorializes any verbal agreements, and requests confidential treatment. This Standard Document has integrated notes with important explanations and drafting tips.