SEC Enforcement Manual, as of 2-14-77
Author : United States. Securities and Exchange Commission
Publisher :
Page : pages
File Size : 23,8 MB
Release : 1977*
Category : Securities
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : pages
File Size : 23,8 MB
Release : 1977*
Category : Securities
ISBN :
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
Page : 216 pages
File Size : 40,37 MB
Release : 2007
Category : Law
ISBN : 9781590318737
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.
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher :
Page : 144 pages
File Size : 36,15 MB
Release : 2008
Category : Corporation law
ISBN :
Author : Nicole A. Baker
Publisher : American Bar Association
Page : 774 pages
File Size : 27,34 MB
Release : 2007
Category : Business & Economics
ISBN : 9781590317297
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.
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher :
Page : 138 pages
File Size : 16,50 MB
Release : 2010
Category : Securities industry
ISBN :
Author : Roger M. Adelman
Publisher : Section of Administrative Law and Regulatory an Bar Associat
Page : 554 pages
File Size : 23,52 MB
Release : 1997
Category : Business & Economics
ISBN :
Author : Texas
Publisher :
Page : pages
File Size : 44,59 MB
Release : 1976
Category : Game-laws
ISBN :
Author : Harvey L. Pitt
Publisher :
Page : 560 pages
File Size : 32,74 MB
Release : 1980
Category : Corporation law
ISBN :
Author : H. David Kotz
Publisher : DIANE Publishing
Page : 477 pages
File Size : 23,13 MB
Release : 2010-03
Category : Biography & Autobiography
ISBN : 1437921868
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
Author : David M. Stuart
Publisher :
Page : 0 pages
File Size : 43,96 MB
Release : 2015-08-07
Category : Corporation law
ISBN : 9781402424717
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.