The Securities Enforcement Manual

The Securities Enforcement Manual
Author: Nicole A. Baker
Publisher: American Bar Association
Total Pages: 774
Release: 2007
Genre: Business & Economics
ISBN: 9781590317297

This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.

Enforcement Manual

Enforcement Manual
Author: United States. Securities and Exchange Commission. Division of Enforcement
Publisher:
Total Pages: 144
Release: 2008
Genre: Corporation law
ISBN:

SEC Compliance and Enforcement Answer Book 2015

SEC Compliance and Enforcement Answer Book 2015
Author: David M. Stuart
Publisher:
Total Pages: 0
Release: 2015-08-07
Genre: Corporation law
ISBN: 9781402424717

SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

Enforcement Manual

Enforcement Manual
Author: United States. Securities and Exchange Commission. Division of Enforcement
Publisher:
Total Pages: 368
Release: 1972*
Genre:
ISBN:

Research Handbook on Securities Regulation in the United States

Research Handbook on Securities Regulation in the United States
Author: Jerry W. Markham
Publisher: Edward Elgar Publishing
Total Pages: 563
Release: 2014-07-31
Genre: Business & Economics
ISBN: 1782540075

This fascinating Handbook provides a clear explanation of the securities market regulation regime in the United States. A diverse set of contributors offer a comprehensive overview of the regulatory process, Dodd-Frank, the principal securities statute