The Securities Enforcement Manual: Tactics and Strategies

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9781590317297: The Securities Enforcement Manual: Tactics and Strategies
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This new Second Edition completely updates the first edition published in 1997. Included is comprehensive coverage to proven approaches and techniques for dealing with an enforcement threat from the SEC, self regulatory organizations, or state securities regulators. It takes you step-by-step through enforcement investigations and proceedings, providing you with strategies to influence the outcome of an investigation and prevent or minimize the adverse effects of enforcement actions.

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PHILLIPS, RICHARD M
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