Sec Rules Of Practice
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Author |
: American Bar Association. House of Delegates |
Publisher |
: American Bar Association |
Total Pages |
: 216 |
Release |
: 2007 |
ISBN-10 |
: 1590318730 |
ISBN-13 |
: 9781590318737 |
Rating |
: 4/5 (30 Downloads) |
Synopsis Model Rules of Professional Conduct by : American Bar Association. House of Delegates
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 |
: David M. Stuart |
Publisher |
: |
Total Pages |
: 0 |
Release |
: 2015-08-07 |
ISBN-10 |
: 140242471X |
ISBN-13 |
: 9781402424717 |
Rating |
: 4/5 (1X Downloads) |
Synopsis SEC Compliance and Enforcement Answer Book 2015 by : David M. Stuart
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 |
: United States. Securities and Exchange Commission. Division of Enforcement |
Publisher |
: |
Total Pages |
: 144 |
Release |
: 2008 |
ISBN-10 |
: STANFORD:36105063760578 |
ISBN-13 |
: |
Rating |
: 4/5 (78 Downloads) |
Synopsis Enforcement Manual by : United States. Securities and Exchange Commission. Division of Enforcement
Author |
: United States. Securities and Exchange Commission |
Publisher |
: |
Total Pages |
: 48 |
Release |
: 1968 |
ISBN-10 |
: STANFORD:36105061361387 |
ISBN-13 |
: |
Rating |
: 4/5 (87 Downloads) |
Synopsis Rules of Practice by : United States. Securities and Exchange Commission
Author |
: United States. Securities and Exchange Commission |
Publisher |
: |
Total Pages |
: 42 |
Release |
: 1964 |
ISBN-10 |
: OSU:32435016119323 |
ISBN-13 |
: |
Rating |
: 4/5 (23 Downloads) |
Synopsis Rules of Practice and Rules Relating to Investigations by : United States. Securities and Exchange Commission
Author |
: |
Publisher |
: |
Total Pages |
: |
Release |
: 2015 |
ISBN-10 |
: 0791389170 |
ISBN-13 |
: 9780791389171 |
Rating |
: 4/5 (70 Downloads) |
Synopsis Sec Guidelines by :
Author |
: United States. Securities and Exchange Commission |
Publisher |
: |
Total Pages |
: 68 |
Release |
: 1960 |
ISBN-10 |
: UOM:39015048421674 |
ISBN-13 |
: |
Rating |
: 4/5 (74 Downloads) |
Synopsis Organization, Procedures and Rules of Practice by : United States. Securities and Exchange Commission
Author |
: Clifford E. Kirsch |
Publisher |
: |
Total Pages |
: 0 |
Release |
: 2006 |
ISBN-10 |
: 1402407718 |
ISBN-13 |
: 9781402407710 |
Rating |
: 4/5 (18 Downloads) |
Synopsis Investment Adviser Regulation by : Clifford E. Kirsch
Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules currently governing investment advisers while ensuring you keep pace with the tougher rules to come. This straightforward, easy-to-read compliance resource shows you how to file and update the pivotal Form ADV and draft compliant advisory contracts.
Author |
: United States Sentencing Commission |
Publisher |
: |
Total Pages |
: 24 |
Release |
: 1996-11 |
ISBN-10 |
: MINN:31951D01474633Q |
ISBN-13 |
: |
Rating |
: 4/5 (3Q Downloads) |
Synopsis Guidelines Manual by : United States Sentencing Commission
Author |
: United States. Securities and Exchange Commission |
Publisher |
: |
Total Pages |
: 50 |
Release |
: 1973 |
ISBN-10 |
: UCSD:31822028980522 |
ISBN-13 |
: |
Rating |
: 4/5 (22 Downloads) |
Synopsis Rules of Practice, And, Rules Relating to Investigations, And, Code of Behavior Governing Ex Parte Communications Between Persons Outside the Commission and Decisional Employees by : United States. Securities and Exchange Commission