Fresh Insights From The SEC Enforcement Manual

Law360, New York (October 17, 2008, 12:00 AM EDT) -- For the first time ever, the U.S. Securities and Exchange Commission’s Division of Enforcement on Oct. 6, 2008, made publicly available a detailed policy and procedure document outlining the operations of the Enforcement Division and key aspects regarding the conduct of its investigations.[1]

The 122-page “Enforcement Manual” provides insights into all aspects of the Enforcement Division’s processes from the inception of a new investigation through the Wells Process and conclusion of a case.

For practitioners before the SEC, the Manual provides important information about the SEC’s...
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