SEC Reference Documents
SEC Reference Document:
All scanned paper, email and native file collections should be converted/processed to TIFF files, Bates numbered, and include fully searchable text. Additionally, email and native file collections should include linked native files.
SEC Enforcement Manual:
The Enforcement Manual (“Manual”) is designed to be a reference for the staff in the U.S. Securities and Exchange Commission’s (“SEC”) Division of Enforcement (“Division” or “Enforcement”) in the investigation of potential violations of the federal securities laws. It contains various general policies and procedures and is intended to provide guidance only to the staff of the Division. It is not intended to, does not, and may not be relied upon to create any rights, substantive or procedural, enforceable at law by any party in any matter civil or criminal.
Electronic discovery (e-discovery), and the risks of failing to properly retain and produce electronically stored information (ESI), is frequently discussed in the context of state and federal court litigation. It is also an increasingly prevalent issue in Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA) investigations.