• Wells Notice Disclosure Obligations l Securities Lawyer 101

BRENDA HAMILTON

Wells Notice Disclosure Obligations l Securities Lawyer 101

(News & Articles)


After the staff of the Securities and Exchange Commission (“SEC”) Division of Enforcement staff has completed its investigation, it may send a notice (“Wells Notice”) to the party being investigated notifying them that it intendsto recommend an SEC enforcement action. Under SEC Rules, in response to a Wells Notice, the recipient is entitled to reply by providing a “Wells Submission” presenting facts and arguments to persuade the SEC’s staff to not pursue an enforcement action.

Fri Apr 04 15:51:15 CEST 2014




Read more

http://www.securitieslawyer101.com/wells-notices/

Views 263

Forward

Forward

Share

Go To Full Profile Follow

Comments

Nothing to display

Add your comment


  • Log in or Register
  • Log in
  • Sign Up
  • Search