Insider Trading Sanctions And Sec Enforcement Legislation PDF Download
Are you looking for read ebook online? Search for your book and save it on your Kindle device, PC, phones or tablets. Download Insider Trading Sanctions And Sec Enforcement Legislation PDF full book. Access full book title Insider Trading Sanctions And Sec Enforcement Legislation.
Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
Publisher | : |
Total Pages | : 338 |
Release | : 1983 |
Genre | : Government publications |
ISBN | : |
Download Insider Trading Sanctions and SEC Enforcement Legislation Book in PDF, ePub and Kindle
Author | : David M. Stuart |
Publisher | : |
Total Pages | : 0 |
Release | : 2015-08-07 |
Genre | : Corporation law |
ISBN | : 9781402424717 |
Download SEC Compliance and Enforcement Answer Book 2015 Book in PDF, ePub and Kindle
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.
Author | : United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance |
Publisher | : |
Total Pages | : 318 |
Release | : 1983 |
Genre | : Insider trading in securities |
ISBN | : |
Download Insider Trading Sanctions and SEC Enforcement Legislation Book in PDF, ePub and Kindle
Author | : United States. General Accounting Office |
Publisher | : |
Total Pages | : 96 |
Release | : 1988 |
Genre | : Insider trading in securities |
ISBN | : |
Download Securities Regulation Book in PDF, ePub and Kindle
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publisher | : |
Total Pages | : 180 |
Release | : 1984 |
Genre | : Government publications |
ISBN | : |
Download The Insider Trading Sanctions Act of 1983 Book in PDF, ePub and Kindle
Author | : |
Publisher | : |
Total Pages | : 402 |
Release | : 1988 |
Genre | : Insider trading in securities |
ISBN | : |
Download Private Rights of Action for Illegal Insider Trading Book in PDF, ePub and Kindle
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publisher | : |
Total Pages | : 146 |
Release | : 1988 |
Genre | : Insider trading in securities |
ISBN | : |
Download The Insider Trading Proscriptions Act of 1987 Book in PDF, ePub and Kindle
Author | : Leonard W. Wang |
Publisher | : |
Total Pages | : |
Release | : 2017 |
Genre | : Corporations |
ISBN | : 9781633591851 |
Download Insider Trading Under the Federal Securities Laws and Other Insider Trading Restrictions Book in PDF, ePub and Kindle
... focuses on federal regulation of trading by corporate insiders and other trading involving the misuse of material nonpublic information. It presents the evolution of the prohibition against insider trading, and discusses the safe harbor against certain liabilities offered by Rule 10b5-1. It covers reporting requirements and short-swing profit liabilities for executive officers, directors and 10% shareholders. The prohibition on trading by executive officers and directors during certain pension plan trading blackout periods is also discussed. In addition, the Portfolio discusses the SEC enforcement process, especially as it is applied to insider trading. Particular attention is paid to the broad reach of the agency's investigative powers, and the depth to which the agency enforcement personnel may investigate in their pursuit of potential wrongdoers. Sanctions and other consequences of violations of law are analyzed.
Author | : United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee |
Publisher | : |
Total Pages | : 662 |
Release | : 1988 |
Genre | : Disclosure of information |
ISBN | : |
Download Problems with the SEC's Enforcement of U.S. Securities Laws in Cases Involving Suspicious Trades Originating from Abroad Book in PDF, ePub and Kindle
Author | : |
Publisher | : |
Total Pages | : 618 |
Release | : 1998 |
Genre | : Insider trading in securities |
ISBN | : |
Download Insider Trading, Fraud, and Fiduciary Duty Under the Federal Securities Laws Book in PDF, ePub and Kindle