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Securities Enforcement: Counseling and Defense

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ISBN: 9780820553436
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ISBN: 9781579114473
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Securities Enforcement: Counseling and Defense is a blend of authoritative analysis and practical insight to defending securities enforcement actions by the SEC, DOJ and other government authorities. Written for attorneys handling securities enforcement matters, it also benefits civil litigators, criminal defense lawyers and corporate counsel. Securities Enforcement: Counseling and Defense analyzes the legal issues, strategies and procedural issues involved in representing clients in the full range of securities enforcement actions, including defending private litigation and criminal investigations. It contains Practice Comments in almost every chapter, and appendices with sample litigation papers, forms, reports, memoranda, selected SEC releases, SEC Rules of Investigation, primary source of relevant securities acts, rules and regulations.

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Table of Contents

VOLUME 1
Chapter 1 INTRODUCTION
Chapter 2 THE SECURITIES AND EXCHANGE COMMISSION
Chapter 3 OVERVIEW OF SEC ENFORCEMENT INVESTIGATIONS
Chapter 4 THE SEC ENFORCEMENT PROGRAM
Chapter 5 THE FORMAL ORDER
Chapter 6 SUBPOENAS AND THEIR ENFORCEMENT
Chapter 7 DISCLOSURE ISSUES
Chapter 8 INTERNAL INVESTIGATIONS
Chapter 9 PRODUCTION OF DOCUMENTS
Chapter 10 TESTIMONY
Chapter 11 REPRESENTING MULTIPLE WITNESSES
Chapter 12 PRIVILEGES
Chapter 13 THE FIFTH AMENDMENT PRIVILEGE AGAINST SELFINCRIMINATION
Chapter 14 DEFENDING AN INSIDER TRADING INVESTIGATION
Chapter 15 DISCOVERY OF INFORMATION FROM THE SECURITIES AND EXCHANGE COMMISSION
Chapter 16 THE SEC WELLS PROCESS
Chapter 17 SETTLEMENT DISCUSSIONS
Chapter 18 REMEDIES
Chapter 19 SEC ADMINISTRATIVE ENFORCEMENT PROCEEDINGS
Chapter 20 COLLATERAL CONSEQUENCES OF SEC ENFORCEMENT

VOLUME 2
Chapter 21 PRIVATE LITIGATION AND SEC ENFORCEMENT
Chapter 22 STATE SECURITIES ENFORCEMENT
Chapter 23 CRIMINAL PROSECUTIONS
Chapter 24 NASDAQ DELISTING MATTERS
Chapter 25 SRO REGULATORY MATTERS
Chapter 26 INSURANCE
Chapter 27 INTERNATIONAL ISSUES
Chapter 28 SPECIAL ISSUES OF BROKER-DEALERS
Chapter 29 SPECIAL ISSUES OF INVESTMENT ADVISERS AND INVESTMENT COMPANIES
Chapter 30 PCAOB ENFORCEMENT

APPENDICIES
Appendix A Forms, Reports and Memoranda
Appendix B Litigation Papers
Appendix C Selected SEC Releases
Appendix D Selected Provisions from Title 11, BANKRUPTCY CODE
Appendix E Selected Title 18 Provisions
Appendix F Securities Act of 1933 Selected Provisions
Appendix G Securities Exchange Act of 1934 Selected Provisions
Appendix H Securities Exchange Act of 1934, Selected Rules & Regulations
Appendix I SEC Rules of Investigation
Appendix J Sarbanes-Oxley Act of 2002 Selected Provisions
Appendix K Investment Advisers Act of 1940 Selected Provisions
Appendix L Rules and Regulations Under the Investment Advisers Act of 1940
Appendix M Investment Company Act of 1940 Selected Provisions
Index