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.

SEC Docket
SEC Docket

Author: United States. Securities and Exchange Commission

Publisher:

Published: 1997

Total Pages: 1332

ISBN-13:

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Nasdaq
Nasdaq

Author: Lucy Heckman

Publisher: Routledge

Published: 2013-09-13

Total Pages: 169

ISBN-13: 1135597383

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NASDAQ brings together, in one volume, a comprehensive annotated bibliography of books, theses and dissertations, US Government reports, journal articles, journals and serials, indexes and abstracts, databases, and websites from 1939 to May 2000.