Enforcement Manual
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher :
Page : 144 pages
File Size : 16,79 MB
Release : 2008
Category : Corporation law
ISBN :
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher :
Page : 144 pages
File Size : 16,79 MB
Release : 2008
Category : Corporation law
ISBN :
Author :
Publisher : DIANE Publishing
Page : 52 pages
File Size : 38,10 MB
Release : 2007
Category :
ISBN : 9781422397800
Author : United States. Securities and Exchange Commission. Division of Enforcement
Publisher :
Page : 138 pages
File Size : 31,67 MB
Release : 2010
Category : Securities industry
ISBN :
Author : United States. Securities and Exchange Commission
Publisher :
Page : 868 pages
File Size : 14,66 MB
Release : 1962
Category : Securities
ISBN :
Author : United States. Securities and Exchange Commission. Office of Audits
Publisher :
Page : 36 pages
File Size : 19,45 MB
Release : 2009
Category : Ponzi schemes
ISBN :
Author : United States Government Accountability Office
Publisher : Createspace Independent Publishing Platform
Page : 54 pages
File Size : 32,34 MB
Release : 2017-09-15
Category :
ISBN : 9781976393471
The Securities and ExchangeCommission's (SEC) Division ofEnforcement (Enforcement) playsa key role in meeting the agency'sresponsibility to enforce securitieslaws and regulations. WhileEnforcement has brought a numberof high-profile cases, questionshave been raised over howeffectively the division manages itsoperations and resources. Forexample, GAO has previouslyreported on challengesEnforcement faces in managing itsinvestigation information systemsand overseeing the Fair Fundprogram. Under this program,funds are distributed to investorswho have suffered losses resultingfrom securities fraud and otherviolations.GAO was asked to evaluateEnforcement's (1) investigationplanning and information systems,and (2) oversight of the Fair Fundprogram.Among other things, GAO analyzedSEC and Enforcement documentsand data and interviewed agencyofficials as well as consultantsinvolved in administering the FairFund program.
Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment
Publisher :
Page : 94 pages
File Size : 50,52 MB
Release : 2009
Category : Securities industry
ISBN :
Author : American Bar Association. House of Delegates
Publisher : American Bar Association
Page : 216 pages
File Size : 33,21 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. General Accounting Office
Publisher :
Page : 60 pages
File Size : 35,96 MB
Release : 1985
Category : Securities fraud
ISBN :
Author : Securities and Securities and Exchange Commission
Publisher : Createspace Independent Publishing Platform
Page : 136 pages
File Size : 47,85 MB
Release : 2018-06-28
Category :
ISBN : 9781722238896
This PRINT REPLICA of the 2018 SEC Rules of Practice and Rules on Fair Fund and Disgorgement Plans by the Securities and Exchange Commission was UPDATED 6/28/2018. It has been said that the most common criticism is that the Administrative Proceedings ("Aps") process is simply unfair. In any proceeding, a person may be represented by an attorney at law admitted to practice before the Supreme Court of the United States or the highest court of any State (as defined in Section 3(a)(16) of the Exchange Act, 15 U.S.C. 78c(a)(16)); a member of a partnership may represent the partnership; a bona fide officer of a corporation, trust or association may represent the corporation, trust or association; and an officer or employee of a state commission or of a department or political subdivision of a state may represent the state commission or the department or political subdivision of the state. Now that the proposed changes to "Exchange -Traded Funds" and "Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds", the world will be a different place. You thought it was the wild, wild west before? You ain't seen nuthin yet. Kiss the Volker Rule goodbye and Dodd-Frank is history. I included the "Rules of Practice Governing Disapproval Proceedings for SRO Proposed Rule Change Filings" at the back of the book as well as Technical Amendments Release No. 34-63723 and Release No. 34-83325. Why buy a book you can download for free? We print this book so you don't have to. First you gotta find a good clean (legible) copy and make sure it's the latest version (not always easy). Some documents found on the web are missing some pages or the image quality is so poor, they are difficult to read. We look over each document carefully and replace poor quality images by going back to the original source document. We proof each document to make sure it's all there - including all changes. If you find a good copy, you could print it using a network printer you share with 100 other people (typically its either out of paper or toner). If it's just a 10-page document, no problem, but if it's 250-pages, you will need to punch 3 holes in all those pages and put it in a 3-ring binder. Takes at least an hour. It's much more cost-effective to just order the latest version from Amazon.com This book includes original commentary which is copyright material. Note that government documents are in the public domain. We print these large documents as a service so you don't have to. The books are compact, tightly-bound, full-size (8 1⁄2 by 11 inches), with large text and glossy covers. 4th Watch Publishing Co. is a Service-Disabled Veteran-Owned Small Business (SDVOSB). If you like the service we provide, please leave positive review on Amazon.com.