The Resource The SEC enforcement process : practice & procedure in handling an SEC investigation, Colleen P. Mahoney, Esq., Charles F. Walker, Esq., Erich T. Schwartz, Esq., Andrew M. Lawrence, Esq., and Joshua A. Ellis, Esq. (Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.)

The SEC enforcement process : practice & procedure in handling an SEC investigation, Colleen P. Mahoney, Esq., Charles F. Walker, Esq., Erich T. Schwartz, Esq., Andrew M. Lawrence, Esq., and Joshua A. Ellis, Esq. (Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.)

Label
The SEC enforcement process : practice & procedure in handling an SEC investigation
Title
The SEC enforcement process
Title remainder
practice & procedure in handling an SEC investigation
Statement of responsibility
Colleen P. Mahoney, Esq., Charles F. Walker, Esq., Erich T. Schwartz, Esq., Andrew M. Lawrence, Esq., and Joshua A. Ellis, Esq. (Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.)
Title variation
  • Securities and Exchange Commission enforcement process
  • Practice & procedure in handling an SEC investigation
  • Practice and procedure in handling an SEC investigation
Title variation remainder
practice & procedure in handling an SEC investigation
Contributor
Author
Issuing body
Subject
Genre
Language
eng
Summary
"... discusses practice and procedure in handling both informal and formal investigations by the Securities and Exchange Commission's Division of Enforcement, including responding to subpoenas, producing documents, and testimony; when and whether companies should conduct internal investigations; the Wells process and settlement discussions; remedies; and consent decrees. This portfolio also examines related issues, including disclosure of an SEC investigation and issues arising out of parallel civil and criminal inquiries."
Member of
Cataloging source
BNA
Characteristic
updating web site
Entry convention
integrated entry
LC call number
KF1434
LC item number
.S43 no. 281
Nature of contents
  • dictionaries
  • bibliography
Regularity
complete irregular
http://library.link/vocab/relatedWorkOrContributorDate
1957-
http://library.link/vocab/relatedWorkOrContributorName
  • Mahoney, Colleen P.
  • Walker, Charles F.
  • Schwartz, Erich T.
  • Lawrence, Andrew M.
  • Ellis, Joshua A..
  • Bloomberg BNA
Series statement
Securities practice portfolio series
Series volume
portfolio 281
http://library.link/vocab/subjectName
  • United States
  • Securities
  • Securities fraud
Label
The SEC enforcement process : practice & procedure in handling an SEC investigation, Colleen P. Mahoney, Esq., Charles F. Walker, Esq., Erich T. Schwartz, Esq., Andrew M. Lawrence, Esq., and Joshua A. Ellis, Esq. (Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.)
Instantiates
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
  • cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- The SEC and its enforcement program -- Informal investigations -- The formal order of investigation -- Disclosure issues in an SEC investigation -- The internal investigation -- Responding to requests for documents and information -- Testimony -- Representing multiple witnesses : conflicts of interest and sequestration -- Parallel proceedings -- Challenges to SEC investigations and subpoenas -- The Wells process -- SEC administrative proceedings -- Federal court injunctive proceedings brought by the SEC -- Remedies available to the SEC -- Discovery of information from the SEC -- Settlement discussions -- Collateral consequences of an SEC action -- Avoiding an enforcement action : implementing and maintaining effective compliance
Dimensions
unknown
Extent
1 online resource
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
  • c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910518717
Label
The SEC enforcement process : practice & procedure in handling an SEC investigation, Colleen P. Mahoney, Esq., Charles F. Walker, Esq., Erich T. Schwartz, Esq., Andrew M. Lawrence, Esq., and Joshua A. Ellis, Esq. (Skadden, Arps, Slate, Meagher & Flom LLP, Washington, D.C.)
Publication
Bibliography note
Includes bibliographical references
Carrier category
online resource
Carrier category code
  • cr
Carrier MARC source
rdacarrier
Color
mixed
Content category
text
Content type code
  • txt
Content type MARC source
rdacontent
Contents
Detailed analysis. Introduction -- The SEC and its enforcement program -- Informal investigations -- The formal order of investigation -- Disclosure issues in an SEC investigation -- The internal investigation -- Responding to requests for documents and information -- Testimony -- Representing multiple witnesses : conflicts of interest and sequestration -- Parallel proceedings -- Challenges to SEC investigations and subpoenas -- The Wells process -- SEC administrative proceedings -- Federal court injunctive proceedings brought by the SEC -- Remedies available to the SEC -- Discovery of information from the SEC -- Settlement discussions -- Collateral consequences of an SEC action -- Avoiding an enforcement action : implementing and maintaining effective compliance
Dimensions
unknown
Extent
1 online resource
Form of item
online
Media category
computer
Media MARC source
rdamedia
Media type code
  • c
Publication frequency
Updated irregularly
Specific material designation
remote
System control number
(OCoLC)910518717

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