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 Foreign Corrupt Practices Act, accounting fraud, regulated entities and—new this year—cryptocurrencies.
Bringing together insights from leading practitioners and former members of the SEC’s Enforcement Division, the book presents an insider’s view to help readers understand the nuances of SEC practice that cannot be gleaned from the rules. 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.
The 2023 edition has been completely revised and updated, including a new chapter on cryptocurrencies written by the former Chief of the SEC’s Crypto Assets and Cyber Unit and a new chapter on SEC examinations of regulated entities, which can often be the prelude to an enforcement investigation. It also includes a substantially revised chapter on SEC whistleblowers that features practical tips written by the most recent former Chief of the Office of Whistleblowers. The book also brings readers up to date on the latest developments such as the SEC’s ability to obtain disgorgement following recent U.S. Supreme Court cases as well as statutory changes and evolving practices on everything from off-channel or ephemeral communications to the SEC’s demands for ever-increasing penalties.
Listen to author Jennifer Leete discuss the book on PLI’s inSecurities podcast here.