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The securities enforcement manual : tactics and strategies
- Available as
- Physical
Checking for availability...
- Creator
- edited by Michael J. Missal and Richard M. Phillips ; contributing authors, Nicole A. Baker ... [and others]
- Format
- Books
- Language
- English
- Contributors
- Publication
-
- Second edition
- [Chicago] : American Bar Association, [2007]
- ©2007
- Physical Details
-
- xvi, 746 pages ; 26 cm
- ISBNs
- 9781590317297, 1590317297
- OCLC
- ocn124074977
- Overview : the multilayered securities enforcement system -- Inspections of broker-dealers, investment advisers, and other regulated firms : the SEC's most powerful compliance oversight tool -- SEC investigations : the heart of SEC enforcement practices -- Sanctions and collateral consequences : the stakes in SEC enforcement actions -- Settlements : minimizing the adverse effects of an SEC enforcement action -- Litigating SEC injunctive actions : the SEC's traditional enforcement mechanism -- Litigating administrative proceedings : the SEC's increasingly important enforcement alternative -- Criminal enforcement of the securities law : a primer for the securities practitioner -- Enforcement by self-regulatory organizations : the frontline regulators of broker-dealers and associated persons -- Blue sky enforcement : the increasing activism of state securities regulators -- Common ethical sanctions and representation issues in the securities enforcement process : enhancing the representation and avoiding conflicts -- An overview of enforcement by the Financial Services Authority : enforcement by the Financial Services Authority -- Internal investigations : a growing practice that may enhance cooperation -- Insurance coverage considerations for SEC investigations and proceedings : directors' and officers' liability insurance coverage