000 03256cam a2200481 a 4500
999 _c272229
_d272229
001 ocm36713116
003 OCoLC
005 20180705145910.0
008 970401s1997 ilu 000 0 eng
010 _a 97011812
020 _a1570734232
020 _a9781570734236
029 1 _aGBVCP
_b229480675
029 1 _aDEBSZ
_b087341034
035 _a(OCoLC)36713116
040 _aPUCPR
_beng
_cDLC
_erda
049 _acicg
050 0 0 _aKF 1439
_b.S417 1997
082 0 0 _a346.73/092
_221
084 _a86.51
_2bcl
245 0 4 _aThe securities enforcement manual :
_btactics and strategies /
_ccontributing authors, Roger M. Adelman [and others] ; edited by Richard M. Phillips.
260 _aChicago :
_bSection of Business Law, American Bar Association,
_c1997.
300 _avii, 533 pages ;
_c26 cm.
336 _atext
_btxt
_2rdacontent
337 _aunmediated
_bn
_2rdamedia
338 _avolume
_bnc
_2rdacarrier
505 0 _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.
610 1 0 _aUnited States.
_bSecurities and Exchange Commission.
610 1 7 _aUnited States.
_bSecurities and Exchange Commission.
650 0 _aSecurities
_zUnited States.
650 0 _aActions and defenses (Administrative law)
_zUnited States.
650 7 _aActions and defenses (Administrative law)
650 7 _aSecurities.
651 7 _aUnited States.
653 0 _aActions and defenses (Administrative law)
_aUnited States
653 0 _aSecurities
_aUnited States
653 0 _aUnited States
_aSecurities and Exchange Commission
700 1 _aAdelman, Roger M.
700 1 _aPhillips, Richard M.
776 0 8 _iOnline version:
_tSecurities enforcement manual.
_dChicago : Section of Business Law, American Bar Association, �1997
_w(OCoLC)706078459
856 4 _3Inhaltsverzeichnis
_uhttp://www.gbv.de/dms/sbb-berlin/229480675.pdf
_zKostenfrei
942 _2lcc
_c6