An edition of The Securities Enforcement Manual (2007)

The securities enforcement manual

tactics and strategies

2nd ed.

by

The securities enforcement manual
Richard M. Phillips
Not in Library

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Last edited by MARC Bot
July 31, 2019 | History
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An edition of The Securities Enforcement Manual (2007)

The securities enforcement manual

tactics and strategies

2nd ed.

by

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Publish Date
Publisher
American Bar Association
Language
English

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Subjects

Securities, United States, Actions and defenses (Administrative law), United States. Securities and Exchange Commission, United states, securities and exchange commission, Actions and defenses

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Edition Availability
Cover of: The Securities Enforcement Manual
The Securities Enforcement Manual: Tactics and Strategies
March 25, 2008, American Bar Association, Brand: American Bar Association, ABA Section of Business Law
Paperback in English - 2 edition
Libraries near you: WorldCat
Cover of: The securities enforcement manual
The securities enforcement manual: tactics and strategies
2007, American Bar Association
in English - 2nd ed.
  • Not in Library
Libraries near you: WorldCat

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Book Details

Table of Contents

3. Overview : the multilayered securities enforcement system
SEC inspections : a potential prelude to enforcement action
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
Litigating administrative proceedings
Criminal enforcement of the securities law
Enforcement by self-regulatory organizations : the frontline regulators of broker-dealers and associated persons
Blue sky enforcement
Collateral consequences of state enforcement actions.

Edition Notes

Published in
[Chicago]

Classifications

Dewey Decimal Class
346.73/0922
Library of Congress
KF1439 .S417 2007

The Physical Object

Pagination
p. cm.

ID Numbers

Open Library
OL17915509M
ISBN 13
9781590317297
LCCN
2007019005
Goodreads
3322075

Source records

Library of Congress MARC record
Library of Congress MARC record

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History

Download catalog record: RDF / JSON / OPDS | Wikipedia citation
July 31, 2019 Edited by MARC Bot associate edition with work OL9911921W
April 16, 2010 Edited by bgimpertBot Added goodreads ID.
April 5, 2010 Edited by 66.77.109.93 Edited without comment.
April 25, 2009 Edited by ImportBot Found a matching Library of Congress MARC record
October 7, 2008 Created by ImportBot Imported from Library of Congress MARC record