Law360's SEC Survival Guide: The Initial Inquiry
By Stephanie Russell-Kraft ( July 29, 2014, 7:26 PM EDT) -- Once a company has notified the U.S. Securities and Exchange Commission about a potential securities violation — or the SEC has singled it out as a potential wrongdoer — it still has plenty of time to prevent an enforcement action. But three things are key: understanding the inquiry, protecting privilege and getting off to a good start with SEC staff....
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