Law360 (June 7, 2022, 5:31 PM EDT) -- U.S. Securities and Exchange Commission personnel at all ranks begin their public comments with a disclaimer that the views they express are their own and not that of the SEC's commissioners nor anyone else at the SEC.

But when the SEC's director of enforcement dedicates an entire public speech to addressing his views on the pace of investigations and cooperation efforts, it does feel like his comments are a warning from the SEC.

This piece reviews the recent comments the SEC's Division of Enforcement Director Gurbir Grewal made at the Securities Enforcement West Forum 2022 and presents practical approaches to managing an SEC investigation.

This article was published by Law360. Please click here to read the full article on their website. A subscription may be required.

Practice Areas

Jump to Page