Overview
SEC Compliance and Enforcement Answer Book is a practical handbook for SEC enforcement defense and regulatory compliance. The book covers each step in the enforcement process, from the early stages of an investigation through document production and investigative testimony to the Wells process, settlement negotiations, and litigation. It also reviews substantive areas like insider trading, the FCPA, accounting fraud, regulated entities, and cryptocurrencies.
With insights from leading practitioners and former members of the SEC’s Enforcement Division, the book presents an insider’s view of the nuances of SEC practice. New associates, in-house counsel and general practitioners representing clients in SEC investigations or litigation, attorneys who regularly practice before the SEC, and even experienced SEC enforcement defense lawyers will all find this to be a useful resource.
Listen to author Jennifer Leete discuss the book on PLI’s inSecurities podcast here.