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…
Month: February 2007
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.…
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