Whistleblowing in the Corporate World Series: The SEC Enforcement Process

As federal agencies heighten regulatory scrutiny, and programs like the SEC Whistleblower Program invite everyday citizens to play a role in the enforcement process, it is critical to understand how the SEC and its enforcement process work. In An Insider Guide to the SEC Enforcement Process, the fourth in our six-part webinar series presented with Thomson Reuters, I call upon knowledge gained through my years as a senior attorney at the SEC to outline the Commission’s enforcement policies, procedures and practices. You can access this program and our entire digital library in our resource center.