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- 2007019005 contributor B10771506.
- 2007019005 contributor B10771507.
- 2007019005 created "c2007.".
- 2007019005 date "2007".
- 2007019005 date "c2007.".
- 2007019005 dateCopyrighted "c2007.".
- 2007019005 description "Includes bibliographical references and index.".
- 2007019005 description "Overview : the multilayered securities enforcement system -- Inspections of broker-dealers,investment advisors, and other regulated firms : the SEC's most powerful coompliance oversight tool -- SEC investigations : the heart of SEC enforcment practices -- Sanctions and collateral consequences : the stakes in SEC enforcement actions -- Settlements : minimizing the adverse effects of an SEC enforcement action -- Litigating SEC injunctive actions : the SEC's traditional enforcement mechanism -- Litigating administrative proceedings : the SEC's increasingly important enforcement alternative -- Criminal enforcement of securities laws : a primer for the securities practitioner -- Enforcement by self-regulator organizations : the frontline regulators of broker-dealers and associated persons -- Blue sky enforcement : the increasing activism of state securities -- Common ethical sanctions and representation issues in the securities enforcement process : enhancing the representation and avoiding conflicts -- An overview of enforcement by the financial services authority : enforcement by the financial services authority -- Internal investigations : a growing practice that may enhance cooperation -- Insurance coverage consideration for SEC investigations and proceedings : director's and officers' liability insurance coverage.".
- 2007019005 extent "xvi, 746 p. ;".
- 2007019005 identifier "9781590317297 (pbk. : alk. paper)".
- 2007019005 identifier 2007019005.html.
- 2007019005 issued "2007".
- 2007019005 issued "c2007.".
- 2007019005 language "eng".
- 2007019005 publisher "Chicago : American Bar Association,".
- 2007019005 spatial "United States.".
- 2007019005 subject "346.73/0922 22".
- 2007019005 subject "Actions and defenses (Administrative law) United States.".
- 2007019005 subject "KF1439 .S417 2007".
- 2007019005 subject "Securities United States.".
- 2007019005 subject "United States. Securities and Exchange Commission.".
- 2007019005 tableOfContents "Overview : the multilayered securities enforcement system -- Inspections of broker-dealers,investment advisors, and other regulated firms : the SEC's most powerful coompliance oversight tool -- SEC investigations : the heart of SEC enforcment practices -- Sanctions and collateral consequences : the stakes in SEC enforcement actions -- Settlements : minimizing the adverse effects of an SEC enforcement action -- Litigating SEC injunctive actions : the SEC's traditional enforcement mechanism -- Litigating administrative proceedings : the SEC's increasingly important enforcement alternative -- Criminal enforcement of securities laws : a primer for the securities practitioner -- Enforcement by self-regulator organizations : the frontline regulators of broker-dealers and associated persons -- Blue sky enforcement : the increasing activism of state securities -- Common ethical sanctions and representation issues in the securities enforcement process : enhancing the representation and avoiding conflicts -- An overview of enforcement by the financial services authority : enforcement by the financial services authority -- Internal investigations : a growing practice that may enhance cooperation -- Insurance coverage consideration for SEC investigations and proceedings : director's and officers' liability insurance coverage.".
- 2007019005 title "The securities enforcement manual : tactics and strategies / contributing authors, Nicole A. Baker ... [et al.] ; edited by Kirkpatrick & Lockhart LLP.".
- 2007019005 type "text".