TY  - BOOK
AU  - Adelman,Roger M.
AU  - Phillips,Richard M.
TI  - The securities enforcement manual: tactics and strategies 
SN  - 1570734232
AV  - KF 1439 .S417 1997
U1  - 346.73/092 21
PY  - 1997///
CY  - Chicago
PB  - Section of Business Law, American Bar Association
KW  - United States
KW  - Securities and Exchange Commission
KW  - Securities
KW  - Actions and defenses (Administrative law)
N1  - 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
UR  - http://www.gbv.de/dms/sbb-berlin/229480675.pdf
ER  -