The Securities and Exchange Commission (SEC) is not limited to litigation when a securities law enforcement investigation runs into secrecy or blocking laws.

Question

Quizplus · Accepted Answer

The SEC has a variety of powers and tactics at its disposal, which may include subpoenas, asset freezes, civil injunctions, administrative proceedings, and settlements, in addition to litigation. Therefore, it is not limited to litigation when faced with secrecy or obstruction in a securities law enforcement investigation.

The Securities and Exchange Commission (SEC) Is Not Limited to Litigation