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Minimizing Missteps When Interfacing with SEC Staff


Robyn C. Quattrone, Thomas A. Sporkin

There is no doubt that all defense counsel strive to provide zealous and competent representation for their clients particularly when faced with a U.S. Securities and Exchange Commission enforcement proceeding. They know the consequences of such matters can be detrimental. What counsel might not fully appreciate, however, is that how they defend and how they interact with the staff of the Enforcement Division (the “staff”) during such proceedings is fundamental to the conduct, and potentially, the outcome of the investigation.

While courtesy and professionalism will not avoid actions where they are warranted, mismanaging interactions with staff can make matters worse and even seemingly small and simple mistakes can be costly to the reputations (and wallets) of clients.

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