The securities enforcement manual :  tactics and strategies / 
contributing authors, Roger M. Adelman [and others] ; edited by Richard M. Phillips. 
 - Chicago :  Section of Business Law, American Bar Association,  1997. 
 - vii, 533 pages ;  26 cm. 
<br/><br/>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. 
<br/><br/><label>ISBN: </label>1570734232 9781570734236 
<br/><br/><label>LCCN: </label>97011812  
<br/><br/><label>Subjects--Corporate Names: </label><br/>United States. Securities and Exchange Commission. <br/>United States. Securities and Exchange Commission. 
<br/><br/><label>Subjects--Topical Terms: </label><br/>Securities--United States.<br/>Actions and defenses (Administrative law)--United States.<br/>Actions and defenses (Administrative law)<br/>Securities.
<br/><br/><label>Subjects--Geographic Terms: </label><br/>United States.
<br/><br/><label>Subjects--Index Terms: </label>Actions and defenses (Administrative law)  United States Securities  United States United States  Securities and Exchange Commission 
<br/><br/><label>LC Class. No.: </label>KF 1439  / .S417 1997 
<br/><br/><label>Dewey Class. No.: </label>346.73/092