Across the Table from the SEC: Defending and Handling SEC Investigations

Event
April 2, 2009
8:00 - 10:00 a.m.

The Offices of Katten Muchin Rosenman LLP
575 Madison Avenue
New York, New York

Partners Gary N. Distell, Anthony L. Paccione, Gil M. Soffer, Joel W. Sternman and Meryl E. Wiener will present the second SEC-related seminar, this time covering the negotiation phase with the SEC.

 

The topics to be discussed include:  

  • Enforcement direction  
  • SEC’s perspective: What triggers an enforcement subpoena?
  • The formal order: What the SEC can do. What you can do.  
  • Tactical considerations in testifying  
  • The Wells process: Settle or litigate? 
  • The role of FINRA


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