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SEC Announces New Policy Concerning Financial Penalties: Guidelines Provide Companies with Road Map on How to Avoid or Limit Penalties
January 9, 2006
Jonathan R. Tuttle, Colby A. Smith, Bruce E. Yannett, Marcia L. MacHarg, Ada Fernandez Johnson
This client update discusses the new policy set forth by the Securities and Exchange Commission on January 6, 2006, which places guidelines on whether and to what extent the SEC should seek to impose civil money penalties on corporate issuers in enforcement proceedings.
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