Securities and Exchange Commission (SEC), Subpoenas, Investigations

SEC Reportedly Requiring Enforcement Staff to Seek Commission Approval for Formal Orders of Investigation

Paul Hastings LLP on 2/5/2025

On February 2, media outlets reported that the Securities and Exchange Commission (SEC or Commission) has told SEC Enforcement attorneys that they need the approval of the agency’s commissioners for all formal orders of...more

Ten Key Facts about SEC Investigations for CEOs and In-House Counsel

Oberheiden P.C. on 4/4/2023

The U.S. Securities and Exchange Commission (SEC) investigates publicly-traded and privately-held companies for a broad range of statutory and regulatory violations. SEC investigations can target issues ranging from...more

The SEC Investigation Process: An Overview

Oberheiden P.C. on 9/7/2021

The U.S. Securities and Exchange Commission (SEC) investigates companies, brokerage firms, and individuals for a broad range of statutory and regulatory violations. These investigations can lead to civil or administrative...more

The 5 + 5 + 5 of SEC Defense

Oberheiden P.C. on 5/4/2021

The U.S. Securities and Exchange Commission (SEC) investigates companies (and individuals) for a broad range of federal offenses. This includes offenses that are both civil and criminal in nature, and that can carry penalties...more

SEC Enforcement Restores Subpoena Power

Faegre Drinker Biddle & Reath LLP on 2/16/2021

The U.S. Securities and Exchange Commission (SEC) has restored the authority of senior Division of Enforcement (Enforcement) officials to initiate investigations, which had been revoked during the Trump administration. On...more

SEC Seeks Increased Access to Email

The Volkov Law Group on 9/22/2015

Jacqui Merrill, an Associate at The Volkov Law Group, joins us with a posting on the SEC’s request for increased access to emails. In a Senate Judiciary Committee meeting held on September 16, 2015, Securities and...more

Are Public Companies Required to Disclose that the Government is Investigating Them?

K&L Gates LLP on 7/14/2015

For many public companies, the first issue they have to confront after they receive a government subpoena or Civil Investigative Demand (“CID”) is whether to disclose publicly that they are under investigation. Curiously, the...more

Securities and Exchange Commission (SEC) › Subpoenas › Investigations