03256cam a2200481 a 4500 272229 272229 ocm36713116 OCoLC 20180705145910.0 970401s1997 ilu 000 0 eng 97011812 1570734232 9781570734236 GBVCP 229480675 DEBSZ 087341034 (OCoLC)36713116 PUCPR eng DLC rda cicg KF 1439 .S417 1997 346.73/092 21 86.51 bcl 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. text txt rdacontent unmediated n rdamedia volume nc rdacarrier 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. 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 Adelman, Roger M. Phillips, Richard M. Online version: Securities enforcement manual. Chicago : Section of Business Law, American Bar Association, �1997 (OCoLC)706078459 Inhaltsverzeichnis http://www.gbv.de/dms/sbb-berlin/229480675.pdf Kostenfrei lcc 6 0 0 lcc 0 0 7 7 4 2000-04-07 ABA 129.15 0 KF 1439 .S417 1997 70000000661418 2018-07-05 00:00:00 2018-07-05 6