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The Securities Law Enforcement Remedies Act of 1989

The Securities Law Enforcement Remedies Act of 1989
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
Total Pages: 522
Release: 1990
Genre: Fines (Penalties)
ISBN:
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The Securities Enforcement Manual

The Securities Enforcement Manual
Author: Nicole A. Baker
Publisher: American Bar Association
Total Pages: 774
Release: 2007
Genre: Business & Economics
ISBN: 9781590317297
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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.