The tactics and strategies Adelman, Roger M. Phillips, Richard M. text ilu Chicago Section of Business Law, American Bar Association 1997 monographic eng

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vii, 533 pages ; 26 cm. 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. contributing authors, Roger M. Adelman [and others] ; edited by Richard M. Phillips. 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 KF 1439 .S417 1997 346.73/092 86.51 Chicago : Section of Business Law, American Bar Association, �1997 (OCoLC)706078459 1570734232 9781570734236 97011812 http://www.gbv.de/dms/sbb-berlin/229480675.pdf http://www.gbv.de/dms/sbb-berlin/229480675.pdf PUCPR 970401 20180705145910.0 ocm36713116 eng