Navigating the SEC's Wells Process Checklist | Practical Law

Navigating the SEC's Wells Process Checklist | Practical Law

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Navigating the SEC's Wells Process Checklist

Practical Law Checklist w-004-8683 (Approx. 7 pages)

Navigating the SEC's Wells Process Checklist

by Practical Law Litigation
MaintainedUSA (National/Federal)
A Checklist of key issues counsel defending companies or individuals under investigation by the SEC should consider in connection with a Wells notice from the SEC. The Checklist covers steps to take before receiving a Wells notice, evaluating the risks and benefits of making a Wells submission, best practices for crafting a Wells submission, and achieving the best result for the client post-Wells submission.