Form 1662-2025

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Form 1662 is given to individuals from whom the SEC wants information as part of its evidence gathering against potential violations of federal securities laws.
A formal investigation is the evidence-gathering process that begins with the filing of the formal complaint by a claimant or Title IX Coordinator and ends when the appeal process is complete. This process includes interviewing parties and witnesses, and gathering other relevant evidence, exculpatory and inculpatory.
The formal order is essentially a delegation by the Commission of its statutory investigative power to certain named staffers. The 1934 Act says that the Commission can issue subpoenas or take sworn testimony.
SEC Investigations Can Be a Lengthy Process For the SEC, investigations are serious, lengthy and comprehensive because there is no more important work than protecting the investing public. In the course of this work, the SEC doesnt always uncover a violation of the federal securities laws.
A court order is an official proclamation by a judge (or panel of judges) that defines the legal relationships between the parties to a hearing, a trial, an appeal or other court proceedings. Such ruling requires or authorizes the carrying out of certain steps by one or more parties to a case.

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The formal order describes the nature of the investigation that has been authorized; identifies certain relevant facts, the statutory violations that are under investigation, and the relevant time periods involved; designates specific staff members to act as officers for purposes of the investigation; and empowers them
This is a form that the SEC provides to whistleblowers who are providing testimony and its very important that you understand the form and what it means. If you ever receive a Form 1662, you should contact a lawyer immediately.
A formal order authorizes SEC staff to administer oaths and affirmations, subpoena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.[1] Enforcement staff do not

sec form 1662