Category Archives: SEC policy and practice

Congress Tackles Insider Trading

By Dan Portnov Not busy enough with impeachment in the run up to the holidays, the U.S. House of Representatives on December 5 passed a bipartisan bill to prohibit insider trading. The Insider Trading Prohibition Act passed by a vote … Continue reading

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SEC Investigations 101: The Endgame

This post is the eighth in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By Dan … Continue reading

Posted in SEC Investigation, SEC policy and practice, SEC Settlement | 1 Comment

SEC Investigations 101: The Wells Notice (Part 2)

This post is the seventh in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By  … Continue reading

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SEC Investigations 101: The Wells Notice (Part 1)

By  Dan Portnov SEC investigations can last a long time. Even when the Enforcement staff comes charging out of the gate, the investigative pace invariably slows once there are terabytes of documents and hundreds of pages of testimony to review. … Continue reading

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SEC Investigations 101: Testimony

This post is the fifth in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By  … Continue reading

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SEC Investigations 101: Cooperation?

This post is the fourth in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from Enforcement division staff. By Dan … Continue reading

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Practical Insights from SEC’s Newest Enforcement Associate Directors

  By Y. Ramona Lin[1] Last week, I had the pleasure of [virtually] attending a lunch and discussion featuring two newest SEC Enforcement Associate Directors, Anita Bandy and Carolyn Welshhans.[2] The discussion was moderated by Kara Brockmeyer, a partner at … Continue reading

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Initial Coin Offerings and What the SEC Might Think About Them: An Update

By Daniel Portnov Earlier this week I attended the DC Bar’s Communities program “Crypto Update: Current Issues Relating to Blockchain, Digital Assets and ICOs” featuring two members of the Commission’s staff – Assistant Director Jennifer Leete from the Enforcement Division and … Continue reading

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SEC Investigations 101: Establishing the Pace and Scope

This post is the third in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s Enforcement division staff. … Continue reading

Posted in SEC Investigation, SEC policy and practice | 1 Comment

SEC Investigations 101: Making Contact

By Dan Portnov This post is the second in a series of posts for non-lawyers, or non-securities lawyers, who might suddenly find themselves on the wrong end of a Securities and Exchange Commission document request, subpoena or call from SEC’s … Continue reading

Posted in SEC Investigation, SEC policy and practice | 1 Comment