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SEC Posts Enforcement "Red Book" on its Website

By Michael MacPhail, Esq.

The SEC recently posted its internal manual used by the Division of Enforcement on the Internet at http://www.sec.gov/divisions/enforce/enforcementmanual.pdf.   Publicizing the manual, which provides guidance to the Enforcement staff, is expected to promote consistency among regional offices and the SEC Headquarters.  More consistency is needed, because different SEC offices continue to employ different policies in key areas.  For instance, the New York, Los Angeles and Philadelphia offices routinely deny defense lawyers access to investigative transcripts of witnesses other than the lawyers? clients, whereas other regional offices and certain Associate Regional Directors in SEC Headquarters routinely grant such access, in the absence of unusual circumstances...continue to full post

Full post as published by NASD, SEC and Regulatory Defense Blog on October 16, 2008 (boomark / email).