Month: February 2007

Series: SEC Enforcement Program 2007, Projecting Trends and Key Issues (Part III)

Key Issues in InvestigationsTwo key issues that may have a significant impact on SEC investigations in 2007 and beyond are:  1) parallel proceedings, and 2) cooperation.  While these issues are not new, cases in 2006 and expected rulings and developments

The SEC In Court: A Win, A Loss and Stay Tuned

In Part I of our series on SEC Enforcement Trends (see post of February 23, 2007) we noted that some commentators have questioned the vitality of the enforcement program. Three recent cases reflect on this question: First, in SEC v.