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Official List of Section 13(f) Securities

Official List of Section 13(f) Securities PDF Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 150

Book Description

Official List of Section 13(f) Securities

Official List of Section 13(f) Securities PDF Author:
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 150

Book Description

SEC Corporation Index

SEC Corporation Index PDF Author: United States. Securities and Exchange Commission. Office of Reports and Information Services
Publisher:
ISBN:
Category : Corporations
Languages : en
Pages : 572

Book Description

SEC Corporation Index

SEC Corporation Index PDF Author: United States. Securities and Exchange Commission. Office of Reports and Information Services
Publisher:
ISBN:
Category : Corporations
Languages : en
Pages :

Book Description

SEC Compliance and Enforcement Answer Book 2015

SEC Compliance and Enforcement Answer Book 2015 PDF Author: David M. Stuart
Publisher:
ISBN: 9781402424717
Category : Corporation law
Languages : en
Pages : 0

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.

Model Rules of Professional Conduct

Model Rules of Professional Conduct PDF Author: American Bar Association. House of Delegates
Publisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216

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.

The International Guide to Securities Market Indices

The International Guide to Securities Market Indices PDF Author: Henry Shilling
Publisher: Routledge
ISBN: 1351343947
Category : Business & Economics
Languages : en
Pages : 1066

Book Description
Originally published in 1996, The International Guide to Securities Market Indices provides a comprehensive overview of the securities market indices and offers assistance to professionals as well as individual investors in the selection of an appropriate securities market index, on a worldwide basis. The Guide’s identifies and catalogues available performance indicators along with their publishers and describes their relevant characteristics and a perspective on their historical price and total return performance. It also contains descriptive profiles along with historical performance data on 400 of the world’s leading global, regional and local securities market indices and sub-indices covering 10 asset classes.

SEC Docket

SEC Docket PDF Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1332

Book Description

The SEC and the Public Interest

The SEC and the Public Interest PDF Author: Susan M. Phillips
Publisher: MIT Press (MA)
ISBN: 9780262661768
Category : Business & Economics
Languages : en
Pages : 190

Book Description
An insightful look at the changing role and reputation of the Securities Exchange Commission since its foundation in 1934.

Federal Information Sources and Systems

Federal Information Sources and Systems PDF Author:
Publisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 1208

Book Description
Includes subject, agency, and budget indexes.

Federal Information Sources & Systems

Federal Information Sources & Systems PDF Author:
Publisher:
ISBN:
Category : Administrative agencies
Languages : en
Pages : 1068

Book Description

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