Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Saturday, 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.

Policy Statement Concerning Cooperation by Individuals in its Investigations and Related Enforcement Actions

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