5 Things About Disclosing SEC Enforcement Investigations

Your company is being investigated by the Securities & Exchange Commission. The SEC hasn’t publicly announced anything about it. Should you?

Which legal proceedings do you make disclosure about? When are they “ripe” for disclosure? Do you wait until the SEC publicly brings an action? Or announces a settlement? Or do you have a duty to disclose something as a “pending” legal proceeding under Item 103 of Regulation S-K?

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