Current and Former Enforcement Staffs’ Tips for Litigating Against the SEC

It is not always possible for a registrant to avoid an SEC enforcement action or charges; however, in some circumstances, it may be advantageous to litigate against the regulator. This article offers an overview of the SEC’s litigation program and, as discussed by an expert panel at the SEC’s Securities Enforcement Forum, examines some of the factors, tactics and approaches that potential defendants and their counsel should consider when litigation against the SEC is in the cards. See “Agency Power and Adjudication: The Government Seeks Supreme Court Review of Jarkesy v. SEC” (Jun. 21, 2023).

To read the full article

Continue reading your article with a CSLR subscription.