Securities,
Corporate
Nov. 1, 2008
The SEC Sheds Light on Enforcement Procedures
The Securities and Exchange Commission, the federal agency that regulates corporate transparency, now has provided some transparency of its own regarding its enforcement program.
Thomas A. Zaccaro
Senior Counsel
Hueston Hennigan LLP
Phone: (213) 788-4039
Email: tzaccaro@hueston.com
Boston College Law School
Thomas is a partner in the firm's Litigation Department. He served as regional trial counsel in the SEC's Los Angeles office.
The Securities and Exchange Commission, the federal agency that regulates corporate transparency, now has provided some transparency of its own regarding its enforcement program. On October 6, 2008, the SEC's Enforcement Division published its first ever Enforcement Manual for conducting informal and formal investigations. The Manual, which is available online, provides invaluable insight into the SEC enforcement process for both new and experienced SEC practitioners. Former SEC Commissi...
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