The Securities and Exchange Commission is more active than ever, filing 734 actions in 2012 and seeking an 18.5 percent increase in its 2013 budget. Most large corporations will face an SEC investigation at some point. News of an investigation need not induce panic, since many do not lead to enforcement action. By taking some sensible steps, you can greatly enhance your chances of resolving the matter with minimal damage. This article … addresses 20 decision points commonly faced by counsel during an SEC investigation and provides a starting point for developing a strategy.
via SEC Investigations 101: 20 Frequently Asked Questions — Corporate Counsel
