Latest / Inside Securities Law with Frederick M. Lehrer
The Other Side of the Table — Part One: How the Commission Reads, Chapter 1
Before the Securities and Exchange Commission (SEC) applies a rule, its enforcement staff examines the record.
What did a company disclose? What did its executives tell investors? What information was omitted? And how do those statements compare with SEC filings, financial records, emails, and other corporate communications?
In this episode of Inside Securities Law with Frederick M. Lehrer, former SEC enforcement attorney Frederick M. Lehrer examines how securities enforcement investigations begin and why a company's own documents often become the foundation of an enforcement case.
Drawing on…
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