Presentation: The SEC Enforcement Process

Part 4 of a 6-part series entitled “Whistleblowing in the Corporate World Series”
This is a six-part presentation series hosted by West Legal Edcenter, part of Thomson Reuters.
Presenter: Jordan A. Thomas

In this presentation, Jordan A. Thomas, a former Assistant Director in the Enforcement Division of the SEC, calls upon his knowledge of the national enforcement program and experience supervising, investigating and prosecuting high-profile cases to educate the public regarding this important institution and its enforcement policies, procedures and practices. Read more about the enforcement and investigations process in our SEC Insider’s Guide.

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What You Will Hear:

  • Introduction to the mission and organization of the SEC
  • Overview of the Division of Enforcement
  • Sources of investigations
  • The investigative process
  • International investigations
  • Parallel investigations with other state and federal financial regulators and law enforcement authorities
  • Key enforcement policies, procedures and practices
Named one of the top whistleblower practices/attorneys in the country by The New York Times, Wall Street Journal, NPR and The New Yorker
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