SEC Enforcement Trends

Because of its finite manpower, the SEC must carefully choose which cases to bring in order to make the most effective statement of what type of conduct violates the law. Companies, on the other hand, must grapple with a number of questions when confronted with potential problems. Among these are whether to conduct an internal investigation or to hire an outside, independent party and whether to waive privilege by disclosing the details of that investigation to the SEC.

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