SEC Enforcement Manual

By: BEVERLY BUTULA//April 20, 2009//

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The Securities and Exchange Commission, Department of Enforcement’s Manual (the Red Book) is available online. The introduction states:

The Enforcement Manual (“Manual”) is an electronic document 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.

For individuals working in this area, the information can provide some additional insight. It includes sections on privilege and investigative practice (including discussion relevant to electronic discovery). A nice summary article can be found at Law.com’s In-House Counsel post from December 11, 2008.

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