The question of waiver by companies furnishing privileged materials to the SEC or DOJ has been the subject of much debate. Frequently in the center of the debate is materials from the internal investigation. The SEC or DOJ would like …

The DC Circuit And Non-Waiver Agreements Read More »

Last year, auction rate securities were a significant area of focus for enforcement. The auction rate securities market crashed in February 2008. Prior to that date, a number of banks and brokers sold ARS as essentially cash equivalents. When the …

Part VIII: SEC Enforcement Trends, 2009 — Auction Rate Securities Read More »