Enforcement Manual
Enforcement Manual

Author: United States. Securities and Exchange Commission. Division of Enforcement

Publisher:

Published: 2008

Total Pages: 144

ISBN-13:

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The Securities Enforcement Manual
The Securities Enforcement Manual

Author: Nicole A. Baker

Publisher: American Bar Association

Published: 2007

Total Pages: 774

ISBN-13: 9781590317297

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This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.

Securities Litigation and Enforcement
Securities Litigation and Enforcement

Author: Donna M. Nagy

Publisher: West Academic Publishing

Published: 2003

Total Pages: 1032

ISBN-13:

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The law school casebook focuses on federal securities litigation and enforcement. Important causes of action and issues are addressed as they are likely to arise in actual litigation, thereby maximizing students? preparation to represent clients in private litigation as well as in SEC and criminal enforcement actions. It includes in depth treatment of the relevant statutory provisions and rules and also class actions, SEC enforcement actions involving market manipulation and insider trading, criminal actions, proxy and tender offer fraud, international securities fraud, and securities arbitration. The casebook is suitable for a variety of two or three credit courses and seminars.

Strengthening the SEC's Vital Enforcement Responsibilities
Strengthening the SEC's Vital Enforcement Responsibilities

Author: Robert Khuzami

Publisher: DIANE Publishing

Published: 2010-11

Total Pages: 20

ISBN-13: 143793367X

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Contents: (1) The extent to which the resource shortages and enforcement policies of the SEC in recent years have hampered aggressive enforcement of securities laws; (2) What changes are needed to ensure that the SEC does not once again fall behind on its enforcement responsibilities; and (3) What changes Congress should consider to ensure adequate resources and authority for the SEC to fulfill its vital enforcement role. Khuzami outlines SEC¿s plan for addressing the challenges that we face. He also discusses some of the changes that SEC Chairman Mary Schapiro has instituted that have already helped SEC¿s program. Additional resources would enhance SEC¿s ability to keep pace with ever-changing developments in a dynamic marketplace.

SEC Compliance and Enforcement Answer Book 2015
SEC Compliance and Enforcement Answer Book 2015

Author: David M. Stuart

Publisher:

Published: 2015-08-07

Total Pages: 0

ISBN-13: 9781402424717

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SEC Compliance and Enforcement Answer Book 2015 answers hundreds of real-world questions related to the nuances of unique SEC Enforcement procedure, and provides sophisticated insight on the complex and extensive body of federal securities laws. Edited by David M. Stuart (Cravath, Swaine and Moore LLP), this expert Q&A guide compiles the perspectives of leading practitioners from around the country who have previously served in the SEC Enforcement Division, many of whom were in some of the most senior positions in the Division. Leveraging the authors' experience and expertise, SEC Compliance and Enforcement Answer Book 2015 provides nuts and bolts guidance on: - Conducting an effective internal investigation - while the SEC is simultaneously investigating - Responding to SEC requests and subpoenas for documents, interviews, and testimony - Cooperating effectively with SEC staff - The Wells process, negotiating resolutions, and litigating with the SEC - The complexities that arise when criminal and international law enforcement authorities becomes involved in an SEC investigation Additionally, SEC Compliance and Enforcement Answer Book 2015 answers questions on insider trading, accounting and securities fraud, market manipulation and foreign corruption. The Q&A guide also tackles special issues related to investigations of attorneys, accountants, and those identified by whistleblowers.

Model Rules of Professional Conduct
Model Rules of Professional Conduct

Author: American Bar Association. House of Delegates

Publisher: American Bar Association

Published: 2007

Total Pages: 216

ISBN-13: 9781590318737

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The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.