The Securities Enforcement Manual

The Securities Enforcement Manual
Author :
Publisher : American Bar Association
Total Pages : 774
Release :
ISBN-10 : 1590317297
ISBN-13 : 9781590317297
Rating : 4/5 (297 Downloads)

Book Synopsis The Securities Enforcement Manual by : Nicole A. Baker

Download or read book The Securities Enforcement Manual written by Nicole A. Baker and published by American Bar Association. This book was released on 2007 with total page 774 pages. Available in PDF, EPUB and Kindle. Book excerpt: 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.


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Disk contains forms from the printed text in WordPerfect 5.1 format.