The securities enforcement manual
Subtitle: tactics and strategies
By: contributing authors, Nicole A. Baker ... [et al.] ; edited by Kirkpatrick & Lockhart LLP.
Contributors: Baker, Nicole A.; Kirkpatrick & Lockhart Nicholson Graham.
Edition: 2nd ed.
Publisher: American Bar Association
Published: 2007
Place of publication: [Chicago]
Language: eng
ISBN-13: 9781590317297
Subjects: United States. -- Securities and Exchange Commission; Securities -- United States; Actions and defenses (Administrative law) -- United States
Table of contents: title: Overview : the multilayered securities enforcement system
class: chapter
label: 3; class: part
title: SEC inspections : a potential prelude to enforcement action; class: part
title: SEC investigations : the heart of SEC enforcement practices; class: part
title: Sanctions and collateral consequences : the stakes in SEC enforcement actions; class: part
title: Settlements : minimizing the adverse effects of an SEC enforcement action; class: part
title: Litigating SEC injunctive actions; class: part
title: Litigating administrative proceedings; class: part
title: Criminal enforcement of the securities law; class: part
title: Enforcement by self-regulatory organizations : the frontline regulators of broker-dealers and associated persons; class: part
title: Blue sky enforcement; class: part
title: Collateral consequences of state enforcement actions.