January 16, 2010
SEC Issues Policy Statement on Cooperation by Individuals
The SEC issued a policy statement announcing the analytical framework it uses to evaluate cooperation by individuals. According to the statement,
This framework serves two important purposes: it promotes the fair and effective exercise of discretion by the Commission, and it enhances confidence on the part of the public and cooperating individuals that decisions regarding cooperation in the Commission’s investigations and related enforcement actions will be made in an appropriate and consistent manner.
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