Navigating SEC Administrative Proceedings | Practical Law

Navigating SEC Administrative Proceedings | Practical Law

A Practice Note that describes the stages of an SEC enforcement action brought in an administrative proceeding. The Note provides a detailed description of each step in the process, explains potential pitfalls, and suggests best practices for attorneys representing clients before the administrative judges and the SEC.

Navigating SEC Administrative Proceedings

Practical Law Practice Note w-000-6195 (Approx. 27 pages)

Navigating SEC Administrative Proceedings

by Practical Law Litigation
MaintainedUSA (National/Federal)
A Practice Note that describes the stages of an SEC enforcement action brought in an administrative proceeding. The Note provides a detailed description of each step in the process, explains potential pitfalls, and suggests best practices for attorneys representing clients before the administrative judges and the SEC.