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  • Downloadable Course Book

Navigating SEC Investigations & Parallel Criminal Prosecutions 2023 (Electronic Download)

Available: In Stock
Price: $69.00
Item Code: 11767-DL


Each year, the U.S. Securities and Exchange Commission brings hundreds of civil and administrative enforcement actions against individuals and companies for violations of the nation’s securities laws. As our capital markets continue to experience unprecedented growth and expansion, the SEC’s enforcement program must regularly monitor the financial markets, the internet, company filings, and news stories for information
indicating that a violation of the federal securities laws may have occurred. The ever-broadening landscape of local, state, federal, and international laws and regulations that govern business entities and individuals alike make the risk of parallel investigations ever-present. Competently navigating the investigative process from the
beginning is imperative. In these course materials, experts discuss the practice and pitfalls of navigating SEC investigations and criminal proceedings.

Summary of Contents:

  • SEC Enforcement Matters
  • Select Materials on SEC Enforcement Investigations, Actions, and Remedies
Practice Areas
Published: 4/18/2023
Pages: 152
Size: Other
©2023 Pennsylvania Bar Association. All rights reserved unless otherwise provided in a separate agreement. Unauthorized use, duplication, republication or redistribution of this material is strictly prohibited without the prior express written consent of the Pennsylvania Bar Association.