Telework isn’t new to the SEC, so it is better positioned than many other federal agencies to the new regulatory landscape, but current COVID-19 restrictions will limit many of the tools typically used during investigations. Over the next several months, the SEC and its staff will be confronted with choices about where and how to deploy the Commission’s limited enforcement and examination resources, and those decisions will have a profound effect on regulated entities.
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SEC Examinations and Enforcement in the COVID-19 Era
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