SECFinal Rule
Rules of Practice
Finance & BankingOther
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Summary
The SEC updated its Rules of Practice, which are the procedural guidelines that govern how the agency conducts enforcement actions and administrative hearings. These rules affect how companies and individuals can defend themselves in SEC investigations and legal proceedings.
Key Points
- 1Establishes procedures for how the SEC conducts investigations and enforcement cases against companies and individuals
- 2Defines the rights of defendants in SEC administrative proceedings, including how they can present evidence and challenge accusations
- 3Sets deadlines, filing requirements, and other procedural rules that parties must follow during SEC legal proceedings
- 4Applies to anyone under investigation by the SEC, including investment firms, securities traders, and corporate executives
- 5Updates ensure the SEC's internal legal processes remain fair and efficient when handling violations of securities laws
Key Dates
Published
September 19, 2025
This summary is for informational purposes only. It may not capture all nuances of the regulation. Always refer to the official text for authoritative information.
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