SEC 1662 (09-21) SECURITIES AND EXCHANGE COMMISSION . Washington, D.C. 20549 . Supplemental Information for Persons Requested to Supply . Information Voluntarily or Directed to Supply Information . Pursuant to a Commission Subpoena . A. False Statements and Documents

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2015年1月23日 · Form 1662 tells you how the SEC might use the information you provide to them, what rights you have in the process and the penalties for failure to respond completely or truthfully.

instructions for completing form phs-1662 An additional sheet of plain paper may be added to complete answers, if necessary. Be sure to put officer’s/applicant’s name and Social Security Number (SSAN) on additional sheets.

2024年7月13日 · Essentially, Form 1662 details how the regulator will use the information provided to them by you, the rights afforded to you during the process, and the potential penalties for being unresponsive or providing incomplete or false information.

If asked by a witness or counsel for a witness whether a DOJ investigation is occurring in parallel, the SEC staff are supposed to make no representation and refer to the SEC’s Form 1662 (which will have been attached to the subpoena), a document that notes the “routine uses” to which information gathered by the SEC may be put—including ...

2019年4月24日 · •Form 1662 informs responding individuals and companies of the applicable federal laws concerning communications with the SEC •It also informs as to the “Routine Uses of Information” provided to the SEC

2023年5月24日 · Form 1662 is a form that the SEC staff provide to anyone asked to provide voluntary information as part of an SEC investigation, or anyone who has been directed to supply information as a result of a subpoena.

1996年12月11日 · The package typically contains: 1) a subpoena for testimony at the Commission’s offices, scheduled on a date in the ensuing seven days to two weeks; 2) an attachment to the subpoena listing documents the witness must produce at testimony; 3) a four-paged, single-spaced Commission Form 1662, containing serious cautionary warnings; 1 and …