Recommended Titles and Treatises

The securities enforcement manual : tactics and strategies

by Nicole A. Baker. American Bar Association. 2nd edition. 2007.
746 pages.

This manual analyzes the tactics and strategies appropriate for the representation of clients faced with security enforcement threats. It covers the procedures and legal framework for securities inspections. It also looks at criminal enforcement, enforcement by self-regulatory organizations, blue sky enforcement, enforcement actions by the Securities Exchange Commission, and internal investigations.

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