Investigations: Responding to a Securities Regulator's Request for Information and Documents | Practical Law

Investigations: Responding to a Securities Regulator's Request for Information and Documents | Practical Law

A Practice Note outlining the key steps to take when responding to a federal securities regulator's request for information and documents. Specifically, this Note explains the initial issues to consider, describes best practices in gathering, reviewing, and producing documents and information, and suggests factors to consider in communications with the regulator.

Investigations: Responding to a Securities Regulator's Request for Information and Documents

by Practical Law Litigation
MaintainedUSA (National/Federal)
A Practice Note outlining the key steps to take when responding to a federal securities regulator's request for information and documents. Specifically, this Note explains the initial issues to consider, describes best practices in gathering, reviewing, and producing documents and information, and suggests factors to consider in communications with the regulator.