Responding to Regulatory Inquiries: A View From the Dugout

Securities enforcement has become increasingly complex and challenging. If your business is thrown an unexpected curve ball, you can easily swing and miss with the U.S. Securities and Exchange Commission, the Financial Industry Regulatory Authority, and others.

Please join Foley attorneys and “team coaches” Joseph D. Edmondson Jr. and Mark S. Mandel, as well as guest instructor Joe Siders, Director – Legal at Charles Schwab & Co., Inc., for the first in a series of web conferences that will address a variety of securities enforcement topics, including:

• Examinations versus enforcement

• Pre-enforcement on-the-record interviews

• eDiscovery

• Pre-Wells discussions versus Wells process

• When to engage outside counsel

There is no cost to participate in this program, but advance registration is required. Instructions for accessing the program will be included in the registration confirmation.