Posts tagged SEC Commission.

On February 9, Acting SEC Chair Lee announced she was restoring the delegated authority of Enforcement Division senior officials to issue subpoenas to compel document production and sworn testimony without the need of a Formal Order of Investigation by the full Commission.

Until 2009, the SEC could only issue compulsory processes (for document production and testimony) under a Formal Order of Investigation issued by the Commission.  In 2009, however, then-Chair Mary Shapiro delegated that authority to the Director of Enforcement for a trial period of one year.  The Final Order, No ...

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