Celesq® Programs

Representing a Client in an SEC Investigation: The Basics

Tom Gorman discusses and analyzes representing an individual or a corporation in an SEC investigation. Topics include the SEC's investigative authority, including formal and informal inquiries, and its subpoena authority; disclosure considerations of the inquiry for the company involved; privileges; production of documents; appearing for testimony; representing multiple witnesses; cooperation; and the Wells process.

Available in States

• Arizona
• California
• Colorado Eligible
• Florida
• Georgia
• Missouri
• New Jersey Eligible
• New York
• Texas Self Study

Program Categories

• California Participatory MCLE Programs
• Corporate and Commercial Law
• Corporate and Securities Law
• Criminal Law & White Collar
• In-House Counsel
• Negligence, Malpractice & Personal Injury
• New York Accredited
• Regulatory and Administrative Law
• Securities & Investing

PROGRAM CREDITS

• 1 General CLE credit : 1 Credit
• 1 General CLE credit : 1 Credit