|Production Date:||November 23 2010|
As a result of the recent economic turmoil caused by ponzi schemes and the sub-prime mortgage debacle, the Securities and Exchange Commission (SEC) has revamped its entire investigative process. In a follow up to his CLE course "Transparency at the SEC: A Response to the Current Financial Crisis," former SEC enforcement attorney Ernest Badway discusses the roots of the crisis within the SEC and the steps taken by the commission to reorganize the Enforcement Division. Badway provides a helpful overview of the significant improvements made to the investigative procedures, including how the SEC now handles complaints, opens MUIs, serves subpoenas and conducts witness interviews. This program also covers SEC enforcement recommendations and practical tips for attorneys who litigate these cases in front of both the SEC administrative and federal courts. Badway concludes with predictions for future SEC enforcement actions, and advises practitioners on how to advise their clients to avoid being subject to these investigations. This presentation is ideal for securities attorneys and accountants seeking updates on the SEC investigation process, and is also useful for all professionals interested in familiarizing themselves with the steps involved in SEC enforcement cases.
I. Understand The Current Economic Turmoil
II. Be Able to Understand SEC Investigations
III. Know how to Conduct Witness Interviews and Testimony
V. Litigation and Appeals
VI. The Future of the Economic Situation
Instruction Method: Self-Study
June H. (Brooklyn, NY)
Raegan (Houston, TX)
Julia (Campbell, CA)
thomas (chicago, IL)
smooth, flowing, interesting, clear
Susan (Temecula, CA)
Evelyn (San Mateo, CA)
Kristina (King George, VA)
Great Information, Presenter was very clear and kept the information in non technical language. I enjoyed program.
Damian (Orange, CA)
A good overview of the subject
Christina (Vienna, VA)
It was very informative
Michael (Haymarket, VA)
John (New York, NY)
this lived up to its billing as a practical overview of SEC enforcement
Stephen (New York, NY)
very good podcast, great insight on how the SEC works from an inside view
brian (san francisco, CA)
Amy (Arlington, VA)
thorough and outstanding, enjoyable, too.
Kelvin (Chicago, IL)
Exceptional! Despite speaker's often representation that he was "boring" he was very engaging. He demonstrated an enthusiasm and knowledge that shows he enjoys not only the subject, but teaching. I have taken his other courses and will take the Dodd-Franks presentation also.
Homer (Brooklyn, NY)
Priscilla (Baltimore, MD)
This was very helpful - thank you for providing it!
joseph (Port Washington, NY)
Craig (Alameda, CA)
Thorough treatment and excellent pointers and suggestions
Thomas (Riverside, CT)
Bruno (New York, NY)
One of the best presentation I have listen to in a while.
Andrea (RANDLOPH, NJ)
I am a securities lawyer in the transactional side, and I found this extremely informative. Thanks.
Kristina (Huntington Beach, CA)
Some useful information.
Ned (Lewiston, ID)
Tough material but the speaker(s) was entesrtaining and, obviously, very knowledgeable.
Eneida (Brooklyn, NY)
The course materials and presentation offer a detailed analysis of fundamental legal and practical concerns that must be considered by the Enforcement Division staff before bringing an action against a corporation.
william (Tampa, FL)
Very interesting. Not a topic I would have chosen but it came with the package I bought. I am glad I watched it.
Rebecca (New York, NY)
I enjoyed this presenter's delivery and found him to be very knowledgeable on the substance.
Edward (St. Louis, MO)
Great speaker; I'll look for his other stuff.
Philip (Leonardtown, MD)
Sarah (Midlothian, VA)
Elizabeth (Alexandria, VA)
This was the best of the bundle. Excellent.
Laura (McLean, VA)
Update at the end regarding Whistleblower funds was very interesting.
Harrison (Lovettsville, VA)
Very good program. For 2 hours, went quickly.
Michael (Chesapeake, VA)
Peter (Loudonville, NY)
Excellent speaker - I dont practice in this area at all but was entirely interested and captivated with the subject matter and the excellence of the presentation.
Linda (Alexandria, VA)
Excellent! A "Fair and Balanced" view of the SEC. Having recently attended a recruiting event at the SEC where the self-promotion was quite evident, I appreciate thoughtful analysis of the procedure, law, and policy related to securities enforcement. (And I think I'll remain in private sector representation. . .)
Phillip (Houston, TX)
Terrel (Idaho Falls, ID)
Ralph (Fairfax, VA)
liked the extra segment..
Andrew (Virginia Beach, VA)
Not in my regular course of business but very interesting taking into consideration recent nightmare cases
Dan (Hastings-on-Hudson, NY)
Good information, well presented.
Elisha (Washington, DC)
He was very engaging.
Gerron (Mitchellville, MD)
Vivian (Coconut Grove, FL)
Steven (Ft. Smith, AR)
Thomas (Chicago, IL)
I liked this program so much that I sought out Prof. Badway's other on-line programs, especially his one on Dodd-Frank.
Lori (Weston, FL)
Speaker was very clear and personable.
Elton (Chicago, IL)
Great practical advice.
Harold (Deland,, FL)
An interesting look at securities regulation post "meltdown".
Randall (West Palm Beach, FL)
Very knowledgeable speaker.
Gary (Pembroke Pines, FL)
Appreciate the update on the pending Whistle Blower legislative changes.
Kristen (Thornwood, NY)
This was a great course! He is a wonderful speaker!
Phil (Chicago, IL)
Great program. Useful and practical.
Heather (Chicago, IL)
This speaker is the best I've seen. I've taken 2 of his courses already.
Mark (Dallas, TX)
bonnie (new york, NY)
Hilary (New York, NY)
very informative and presented in a way that is helpful to individuals who do not have as much experience on this topic
Michael (Potomac, MD)
A very informative and thought-provoking course. Deals pragmatically with issues and the SEC.
Laura (Novato, CA)
As an SEC attorney, this was very well done, thorough and practical presentation. Thank you.
Alexander (San Fransico, CA)
Paul (Glendale, CA)
mary (Pleasant Hill, CA)
Duong (Oakland, CA)
Robert (Woodcliff Lake, NJ)
Fantastic. Takes a very dry subject and actually makes it interesting. Even the added humor was well measured. Obviously knows the material. Delivery could not have been better.
Carol (White Plains, NY)