Securities and Exchange Commission (SEC), Evidence, Discovery

Leveling the Playing Field? Developing Discovery Strategies in CFTC Civil Enforcement Actions

Perkins Coie on 4/8/2025

The Commodity Futures Trading Commission’s Division of Enforcement wields immense power in civil enforcement actions. It often seeks financial sanctions, including hefty financial penalties, and injunctive relief that can...more

Federal Court Grants the SEC Limited Access to the Identities of Law Firm Clients Impacted by a Cyberattack

Jones Day on 8/15/2023

In Short - The Situation: Following a cyberattack on a law firm's systems, the Securities and Exchange Commission ("SEC") subpoenaed the firm for information, including the identity of clients whose information may have...more

Are You Sure Those Conversations Are Covered by the Common Interest Privilege? Check the Record

Troutman Pepper Locke on 1/9/2019

Imagine you are representing an individual who has been subpoenaed for testimony as part of the government’s investigation of her employer. ...more

Mine Your Own Business: Multinational Mining Company Seeks Protection Of Alleged Trade Secrets During Discovery

Orrick - Trade Secrets Group on 3/16/2018

Last week, multinational mining giant Rio Tinto asked a federal court in Manhattan to shield its document disclosures to the Securities and Exchange Commission (SEC) from the public eye....more

A Parallel Universe: Navigating Discovery in Concurrent Civil and Criminal Proceedings

Ward and Smith, P.A. on 3/8/2017

As criminal law has expanded into almost every sector of the American economy, one byproduct is the rise of "parallel proceedings"—lawsuits that proceed concurrently in criminal and civil court based on largely the same...more

SEC Adopts Amendments Updating its Rules of Practice for Administrative Proceedings

Mintz - Securities & Capital Markets... on 7/26/2016

On July 13, 2016, the SEC announced its adoption of several amendments that update the SEC’s rules of practice governing its administrative proceedings. ...more

New Amendments to SEC's Rules of Practice in Administrative Proceedings

Pierce Atwood LLP on 7/19/2016

On July 13, 2016, the U.S. Securities and Exchange Commission (SEC) adopted several amendments to its Rules of Practice regarding administrative proceedings. The amendments address, among other things, the timing of...more

SEC Adopts Amendments to Rules Governing Its Administrative Proceedings

Proskauer - Corporate Defense and Disputes on 7/14/2016

On July 13, 2016, the SEC announced that it will adopt certain amendments to its rules of practice governing administrative proceedings. Faced with criticism from practitioners and the media regarding a perceived “home field...more

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