Portfolio 77-3rd: The SEC Enforcement Process: Practice and Procedure in Handling an SEC Investigation in the Sarbanes-Oxley Era

Wks. 1 Standard Form Letter from the SEC Staff Accompanying a Subpoena to a Company in a Formal Nonpublic Investigation

Wks. 2 SEC Subpoena Requiring the Production of Documents and Appearance for Testimony

Wks. 3 SEC Form 1661—Supplemental Information for Regulated Entities Directed to Supply Information Other Than Pursuant to a Commission Subpoena

Wks. 4 SEC Form 1662—Supplemental Information for Persons Supplying Information Voluntarily or Directed to Supply Information

Wks. 5 Form Letter to the SEC Staff Requesting a Copy of the Formal Order of Investigation

Wks. 6 Form Letter to the SEC FOIA Officer Requesting Confidential Treatment of Letter Requesting a Copy of the Formal Order of Investigation

Wks. 7 SEC Order Directing a Private Investigation and Designating Officers to Take Testimony

Wks. 8 Form Letter to the SEC Staff Producing Documents and Requesting Confidential Treatment of Documents Produced Pursuant to a Subpoena Duces Tecum

Wks. 9 Form Letter to the SEC FOIA Officer Requesting Confidential Treatment of Documents

Wks. 10 Form Letter to the SEC Staff Requesting Confidential Treatment of Testimony Before the Staff

Wks. 11 Form Letter to the SEC FOIA Officer Requesting Confidential Treatment of Testimony Before the Staff

Wks. 12 Claim for Fees and Expenses of Witness (SEC Form 1712)

Wks. 13 SEC Background Questionnaire

Wks. 14 Commencement of Enforcement Proceedings and Termination of Staff Investigations, Securities Act Release No. 5310 (Feb. 28, 1973)

Wks. 15 Report of the Commission's Advisory Committee on Enforcement Policies and Practices (The Wells Committee Report) June 29, 1972

Wks. 16 Securities Exchange Act of 1934, § 21(a), 15 U.S.C. §78u

Wks. 17 Securities Act of 1933, §§19(c) and 20(a), 15 U.S.C. §§77s(c) and 77t(a)

Wks. 18 SEC Rules Relating to Enforcement Activities, 17 C.F.R. §202.5

Wks. 19 Securities and Exchange Commission Rules of Practice, 17 C.F.R. §§201.100–201.900

Wks. 20 18 U.S.C. §§1001 (Fraud and False Statements) and 1621 (Perjury)

Wks. 21 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 and Commission Statement on the Relationship of Cooperation to Agency Enforcement Decisions, Exchange Act Release No. 44,969

Wks. 22 SEC Rules Relating to Investigations, 17 C.F.R. §§203.1–203.8

Wks. 23 Selected Provisions of the Sarbanes-Oxley Act of 2002 Section 802, Criminal Penalties for Altering Documents, 18 U.S.C. §§1519–1520 Section 1102, Tampering with a Record or Otherwise Impeding an Official Proceeding, 18 U.S.C. §1512(c)

Wks. 24 Statement of the Securities and Exchange Commission Concerning Financial Penalties, Press Release 2006-4