MARC Record from harvard_bibliographic_metadata

LEADER: 01779cam a2200277 a 4500
001 011067748-X
005 20071003115421.0
008 070504s2007 ilu b 001 0 eng
010 $a 2007019005
020 $a9781590317297 (pbk. : alk. paper)
040 $aDLC$cDLC$dDLC$dMH-L
043 $an-us---
050 00 $aKF1439$b.S417 2007
082 00 $a346.73/0922$222
245 04 $aThe securities enforcement manual :$btactics and strategies /$cedited by Michael J. Missal and Richard M. Phillips ; contributing authors, Nicole A. Baker ... [et al.].
250 $a2nd ed.
260 $aChicago :$bABA Section of Business Law,$cc2007.
300 $axvi, 746 p. ;$c26 cm.
504 $aIncludes bibliographical references and index.
505 0 $aOverview : the multilayered securities enforcement system -- Inspections of broker-dealers, investment advisers and other regulated firms -- SEC investigations -- Sanctions and collateral consequences -- Settlements : minimizing the adverse effects of an SEC enforcement action -- Litigating SEC injunctive actions -- Litigating administrative proceedings -- Criminal enforcement of securities laws -- Enforcement by self-regulatory organizations -- Blue sky enforcement: the increasing activism of state securities regulators -- Common ethical sanctions and representation issues in the securites enforcement process -- An overview of enforcement by the Financial Services Authority -- Internal investigations -- Insurance coverage considerations for SEC investigations and proceedings.
650 0 $aSecurities$zUnited States.
650 0 $aActions and defenses (Administrative law)$zUnited States.
610 10 $aUnited States.$bSecurities and Exchange Commission.
700 1 $aBaker, Nicole A.
988 $a20070912
906 $0DLC