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SEC Sets Standards For Imposing Corporate Penalties

January 12, 2006

By William F. Sullivan and Morgan J. Miller

On January 4, 2006, a unanimous Securities and Exchange Commission led by recently appointed Chairman, Christopher Cox, announced principles governing when and how it will impose financial penalties on companies.

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Image: William F Sullivan
William F Sullivan
Senior Counsel, Litigation Department
Image: Morgan J Miller
Morgan J Miller
Partner, Litigation Department