Options for Wells Notice Response

 When the SEC Enforcement Division issues a Wells notice, the recipient has a choice of whether or not to respond. Responding to a Wells notice is not compulsory, and making a substantive disclosure may or may be in a party’s best interests depending on the circumstances presented.

In most cases, the issuance of a Wells notice does not come entirely as a surprise. Since the SEC Enforcement Division’s decision to issue a Wells notice reflects a preliminary determination to recommend enforcement action, issuance generally comes well into the investigative process. When this is the case, the recipient must make its own determination about whether disclosing information is in its best interests—or whether a more defensive stance is necessary.

A careful analysis of the contents of the Wells notice will be crucial for determining how to respond. This includes a legal review of:

  • The specific charges the SEC Enforcement Division is recommending
  • The limitations established for the Wells notice disclosure
  • The deadline for submitting the Wells notice disclosure to the SEC

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