This checklist covers the SEC’s Wells Process, which is the informal pre-enforcement procedure through which the Division of Enforcement notifies a person or entity that it intends to recommend charges and gives the recipient an opportunity to respond through...
The following article is a summary of the full practice note, available to Practical Guidance subscribers by following this link . Not yet a Practical Guidance subscriber? Sign up for a free trial here . The complete practice note is written by Laurel F. Grass...
This practice note covers the SEC’s use of administrative proceedings as an enforcement forum and explains how those proceedings differ from civil actions in federal district court. It begins by comparing the two venues, emphasizing differences in adjudicator...
LexisNexis and the LexisNexis Rule of Law Foundation were recognized at the World Bank’s Law, Justice and Development Week 2025 in Washington, D.C., where leaders discussed innovative legal solutions to global development challenges. A key focus was the African...
The following article is a summary of the full article, available to Practical Guidance subscribers by following this link . Not yet a Practical Guidance subscriber? Sign up for a free trial here . The complete article is written by Brian Browne and James R....