Remedies in SEC Enforcement Actions: Survey and Current Issues

June 15, 2010
Washington, DC

Organizer: DC Bar

This course is designed to help you understand the wide range of legal and equitable remedies available in SEC enforcement actions. You will learn about traditional injunctive remedy, including ancillary relief such as special masters, compliance consultants, undertakings, and asset freezes. In addition, our faculty will discuss considerations taken into account for assessing disgorgement and civil penalties, and when officer and director bars may be sought. Administrative remedies also will be discussed, including the interplay of cease-and-desist proceedings and 15(b)(6) proceedings against licensed professionals. This class will help you avoid common misconceptions about the SEC's remedial powers. It will enable you to prepare your clients and yourself better for the endgame of settlement negotiations or litigation.