Newly Published SEC Enforcement Manual Addresses E-Discovery
Client Alert | 1 min read | 10.30.08
On October 6, 2008, the Securities and Exchange Commission published on its website its new "Enforcement Manual." Although the SEC had its policies and procedures previously set forth in an internal manual (the SEC "Redbook") for many years, this expansive new publication is more comprehensive and offers further insight into the process at the Division of Enforcement.
The Enforcement Manual specifically addresses E-discovery issues in § 3.2.6.2.3. The Manual "encourages" the Staff to request document productions in electronic format (on CD, DVD or hard drive media) and specifies that the Staff's requests should include the Division's technical data standards. The Manual notes that scanned collections, e-mail or native files produced by parties should be compatible with the software systems used by the Staff, Concordance and Opticon. The Manual adds that the Division has its own technology staff to respond to questions and to assist the Staff's review and management of electronic document productions.
The Manual also provides guidance on bates stamping, privilege logs and business record certifications, including sample declarations for domestic and foreign records.
Click to view the SEC Enforcement Manual [PDF].
Event Notice:
Crowell & Moring partner Jeane Thomas will co-chair the Georgetown Law School's 5th Annual Advanced E-Discovery Institute: The Discovery of ESI Comes of Age. The program is being held in cooperation with The Sedona Conference and will be taking place on November 20-21 at the Doubletree Hotel Crystal City. For more information please visit: https://www.law.georgetown.edu/cle/showEventDetail.cfm?ID=190.
Contacts
Insights
Client Alert | 4 min read | 07.02.25
Merger consent orders are back at the FTC, and the FTC’s most recent action showcases how the current leadership is analyzing divestiture proposals. Last week, the FTC approved a proposed consent agreement in Alimentation Couche-Tard Inc.’s (ACT) acquisition of retail fuel outlets from Giant Eagle, Inc. that paired standard retail divestitures with a “prior notice” requirement that ACT notify the agency of future acquisitions in certain markets regardless of size. This FTC has signaled greater acceptance of remedies than the prior administration, and this most recent consent puts that on display, with Commissioner Meador providing merging parties guidance on designing effective remedies.
Client Alert | 3 min read | 07.02.25
USPTO's Upcoming Changes to the Accelerated Examination Program
Client Alert | 2 min read | 07.01.25
DoD Establishes New DOGE Approval Process for ITC&MS and A&AS Contracts
