Annual Institute on Securities Regulation PDF Download
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Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1066
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Book Description
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1066
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Book Description
Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
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Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1152
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Book Description
Author: Ralph C. Ferrara
Publisher: Law Journal Press
ISBN: 9781588520692
Category : Business & Economics
Languages : en
Pages : 960
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Book Description
The authors analyze the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Sarbanes-Oxley Act and SEC regulations regarding selective disclosure and insider trading.
Author: United States. Congress. Senate. Committee on the Judiciary
Publisher:
ISBN:
Category : Law
Languages : en
Pages : 1690
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Book Description
"September 23; October 7 and 20; November 9, 16, and 18, 1993"--Pt. 1.
Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Publisher:
ISBN:
Category : Business & Economics
Languages : en
Pages : 126
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Book Description
Author: David M. Stuart
Publisher:
ISBN: 9781402424717
Category : Corporation law
Languages : en
Pages : 0
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Book Description
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:
Publisher:
ISBN:
Category : Brokers
Languages : en
Pages : 990
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Book Description
Author: United States. Congress. Senate. Committee on Government Operations. Subcommittee on Reports, Accounting, and Management
Publisher:
ISBN:
Category : Accounting
Languages : en
Pages : 1790
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Book Description
Author:
Publisher:
ISBN:
Category : Economics
Languages : en
Pages : 454
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Book Description
