Securities Practice: Federal and State Enforcement (Vols. 25 and 25A, Securities Law Series)

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Gain insight into the workings of the Securities Exchange Commission (SEC). This reference describes the SEC’s approach to enforcement to help you respond effectively to an SEC investigation or enforcement action.

Features

Discusses SEC investigations
Criminal and related enforcement practice
Applicability of non-securities laws to SEC enforcement practice
SEC subpoena enforcement practice
Regulation of futures trading

Summary of contents
Replacement pages

Volume 1
Chapter
1. Introduction
2. The SEC Enforcement Program
3. SEC Investigations
4. SEC Administrative Remedies
5. SEC Injunctions
  1. The Securities Enforcement Remedies and Penny Stock Reform Act of 1990
6. Criminal and Related Enforcement Practice
7. Applicability of Nonsecurities Law Statutes to SEC Enforcement Practice
Volume 2
1. SEC Subpoena Enforcement Practice
2. Multiple Representation and Conflicts of Interest
3. The Attorney-Client Privilege and the Work-Product Doctrine
4. Regulation of Futures Trading
5. Blue Sky Enforcement
6. Self-Regulatory Organization Enforcement Practice

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