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This book provides you with the guidance you need to protect your clients' confidential information while facing disclosure and liability concerns under the securities laws.
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.
The coverage of this text is designed for both the basic securities regulation course and for advanced seminars. In addition to case law, the text includes other relevant material such as SEC releases and scholarly commentary. The problem method is used extensively. Securities Regulation covers the traditional issues as well as the developing areas. Subjects that receive extensive treatment include: o Definition of a security, o Exemptions from registration, o The registration process, o Sarbanes-Oxley, o The policy debate underlying disclosure, o Resales (including SEC Rule 144), o Due diligence (including the integrated disclosure framework), o Disclosure obligations in a myriad of contexts, o Regulation of the securities markets, o International securities developments including global offerings, o Remedies and liabilities under both federal and state securities law, o Broker-dealer regulation, o Corporate control transactions and contests, o Attorney professional responsibility, o SEC enforcement, and o "Blue Sky" regulation A Teacher's Manual is available to professors.