The securities enforcement manual : tactics and strategies / contributing authors, Roger M. Adelman [and others] ; edited by Richard M. Phillips.
Detalles de publicación: Chicago : Section of Business Law, American Bar Association, 1997.Descripción: vii, 533 pages ; 26 cmTipo de contenido:- text
- unmediated
- volume
- 1570734232
- 9781570734236
- United States. Securities and Exchange Commission
- United States. Securities and Exchange Commission
- Securities -- United States
- Actions and defenses (Administrative law) -- United States
- Actions and defenses (Administrative law)
- Securities
- United States
- Actions and defenses (Administrative law) United States
- Securities United States
- United States Securities and Exchange Commission
- 346.73/092 21
- KF 1439 .S417 1997
- 86.51
| Imagen de cubierta | Tipo de ítem | Biblioteca actual | Biblioteca de origen | Colección | Ubicación en estantería | Signatura topográfica | Materiales especificados | Info Vol | URL | Copia número | Estado | Notas | Fecha de vencimiento | Código de barras | Reserva de ítems | Prioridad de la cola de reserva de ejemplar | Reservas para cursos | |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| Libro | Biblioteca de Derecho Mons. Fremiot Torres Oliver Colección General biblioteca derecho | KF 1439 .S417 1997 (Navegar estantería(Abre debajo)) | Disponible | 70000000661418 |
Overview: The multilayered securities enforcement system / Richard M. Phillips -- SEC inspections : the preventable prelude to enforcement action / Richard D. Marshall -- SEC investigations : the heart of SEC enforcement practice / Richard M. Phillips, Glenn R. Reichardt, Michael J. Missal and Robyn J. Lipton -- Sanctions and collateral consequences : the stakes in SEC enforcement actions / Jeffrey B. Maletta and Neil S. Lang -- Settlements : minimizing the adverse effects of an SEC enforcement action / Richard M. Phillips -- Litigating SEC injunctive actions : the SEC's traditional enforcement action / Jeffrey B. Maletta -- Litigating administrative proceedings : the SEC's increasingly important enforcement alternative / Neil S. Lang and Robyn J. Lipton -- Criminal enforcement of the securities laws : a primer for the securities practitioner / Stephen W. Grafman, Roger M. Adelman and Christian E. Plaza -- Enforcement by self-regulatory organizations : a growing impact on broker-dealers and their personnel / Mahlon M. Frankhauser, Linda M. Gardner, Brian F. McNally and Leslie A. Leatherwood -- Blue sky enforcement : the increasing activism of state securities regulators / Michael J. Missal -- Common ethical issues in securities enforcement practice / Jeffrey B. Maletta -- International enforcement : enforcement actions in the global market / Charles R. Mills, Linda M. Gardner and Christian E. Plaza.