LEGAL GUIDE
Written by attorney Robert Michael Van De Veire | Jul 2, 2015

Tips on Handling an SEC Subpoena

Receiving a subpoena from the Securities and Exchange Commission will usually be a stressful event in anyone’s life. For a financial professional, receiving an SEC subpoena can be particularly intimidating. There are few things everyone should know about dealing with an SEC subpoena.

Rate this guide


Can’t find what you’re looking for?


Post a free question on our public forum.

Ask a Question

- or -

Search for lawyers by reviews and ratings.

Find a Lawyer