Have you ever wondered what you’d need to do first if the SEC began investigating your company? One of the coauthors of this article worked for the SEC and has developed a checklist for you, along with a thorough discussion of the various paths you could take and the pros and cons for each of them. Keep this article handy. It could help you get your heart to start beating again in those first few critical moments when you hear of an impending enforcement investigation.
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The information in any resource collected in this virtual library should not be construed as legal advice or legal opinion on specific facts and should not be considered representative of the views of its authors, its sponsors, and/or ACC. These resources are not intended as a definitive statement on the subject addressed. Rather, they are intended to serve as a tool providing practical advice and references for the busy in-house practitioner and other readers.