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Monday, September 18, 2023 1:46:12 PM
Subject to the provisions of the Freedom of Information Act, the SEC cannot disclose the existence or non-existence of an investigation or any information gathered unless made a matter of public record in proceedings brought before the SEC or in the courts.Sep 20, 2017
Does the SEC announce investigations?
The SEC's litigation is generally public, and the agency will typically issue a press release announcing its action. The press release will include a summary of the allegations and the relief being sought by the SEC.May 10, 2023
Are SEC investigations public?
By law, SEC investigations are confidential and non-public. Generally, the SEC Staff will provide information and materials to SEC whistleblowers on a need to know basis only.
Do companies have to disclose SEC investigations?
In a recent decision from the U.S. District Court for the Southern District of New York, Judge John G. Koeltl held that issuers do not have a general duty to disclose the existence of an SEC investigation or a Wells Notice.
What happens when you file a complaint with the SEC?
Process for Handling Complaints
OIEA may refer an investor complaint to other Offices or Divisions within the SEC, including the Division of Enforcement. The Division of Enforcement generally conducts investigations on a confidential basis.Apr 19, 2017
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Ichim time to educate both you & your supposed SEC attorney
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