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The Champion

September-October 2018 , Page 16 

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Handling SEC Enforcement Matters

By Susan E. Brune and Juliet B. Hatchett

Representing clients in investigations conducted by and cases brought by U.S. Securities and Exchange Commission’s (SEC) Division of Enforcement requires strong advocacy skills. Criminal defense practitioners are well suited to SEC work, because strong advocacy is what criminal defense practitioners are called upon every day to provide. It is important, though, to know how the landscape at the SEC differs from criminal defense forums. This article makes the comparisons, points out the contrasts, and for the benefit of criminal defense practitioners who have not yet had the opportunity to deal with SEC Enforcement, demystifies the process.

Created during the New Deal to protect the investing public, the Commission has five members, each of whom is appointed to a five-year term by the president of the United States with the advice and consent of the Senate. Only three commissioners can be from the same political party.1 In practice, this almost always means that three of the five belong t

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