E-Discovery in SEC and FINRA Investigations

Electronic discovery, and the risks of failing to properly retain and
produce electronically stored information, is frequently discussed in the
context of state and federal court litigation. It is also an increasingly
prevalent issue in Securities and Exchange Commission and Financial Industry
Regulatory Authority investigations.

The failure to know and comply with the requirements and expectations for
e-discovery in these contexts can have a number of adverse consequences for
both firms and their personnel, as well as potentially for their counsel.
This article highlights some of the key requirements and considerations in
identifying, collecting and producing ESI to the SEC or FINRA during an

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