03115cam a2200421 a 4500001001300000003000600013005001700019008004100036010001700077020001500094020001800109035002000127040002500147050002400172082001900196084001500215245015200230260007300382300002900455336002600484337002800510338002700538505142700565610005601992610005602048650003102104650006202135650004602197650001602243651001902259653006102278653003002339653005402369700002202423700002502445776014002470856008302610ocm36713116 OCoLC20180705145910.0970401s1997    ilu           000 0 eng    a   97011812   a1570734232  a9781570734236  a(OCoLC)36713116  aPUCPRbengcDLCerda00aKF 1439b.S417 199700a346.73/092221  a86.512bcl04aThe securities enforcement manual :btactics and strategies /ccontributing authors, Roger M. Adelman [and others] ; edited by Richard M. Phillips.  aChicago :bSection of Business Law, American Bar Association,c1997.  avii, 533 pages ;c26 cm.  atextbtxt2rdacontent  aunmediatedbn2rdamedia  avolumebnc2rdacarrier0 aOverview: 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.10aUnited States.bSecurities and Exchange Commission.17aUnited States.bSecurities and Exchange Commission. 0aSecuritieszUnited States. 0aActions and defenses (Administrative law)zUnited States. 7aActions and defenses (Administrative law) 7aSecurities. 7aUnited States. 0aActions and defenses (Administrative law)aUnited States 0aSecuritiesaUnited States 0aUnited StatesaSecurities and Exchange Commission1 aAdelman, Roger M.1 aPhillips, Richard M.08iOnline version:tSecurities enforcement manual.dChicago : Section of Business Law, American Bar Association, �1997w(OCoLC)7060784594 3Inhaltsverzeichnisuhttp://www.gbv.de/dms/sbb-berlin/229480675.pdfzKostenfrei