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証券法エンフォースメント

Securities Enforcement: Counseling and Defense

Kenneth B. Winer, Samuel J. Winer

2 vols. Looseleaf. 2005 to date.(追録年1回)

Matthew Bender. ISBN: 9780820553436

¥174,591

在庫あり

SEC、司法省、PCAOB、各州当局等による証券法の執行内容を明らかにし、当事者における対策や手続などの実務を解説した文献。一次資料や文書例なども豊富に収録しています。

【Table of Contents】

VOLUME 1

1. Introduction

2. The Securities and Exchange Commission

3. Overview of SEC Enforcement Investigations

4. The SEC Enforcement Program

5. The Formal Order

6. Subpoenas and Their Enforcement

7. Disclosure Issues

8. Internal Investigations and Fact-Gathering by Defense Counsel

9. Production of Documents

10. Testimony

11. Representing Multiple Witnesses

12. Privileges

13. The Fifth Amendment Privilege against Self-incrimination

14. Defending an Insider Trading Investigation

15. Discovery of Information from the SEC

16. The SEC Wells Process

17. Settlement Discussions

18. Remedies

19. SEC Administrative Enforcement Proceedings

20. Collateral Consequences of SEC Enforcement

VOLUME 2

21. Private Litigation and SEC Enforcement

22. State Securities Enforcement

23. Criminal Prosecutions

24. NASDAQ Compliance Matters

25. SRO Regulatory Matters

26. Insurance

27. International Issues

28. Special Issues of Broker-Dealers

29. Special Issues of Investment Advisers and Investment Companies

30. PCAOB Enforcement

APPENDICIES

A. Forms, Reports and Memoranda

B. Litigation Papers

C. Selected SEC Releases

D. Selected Provisions from Title 11, BANKRUPTCY CODE

E. Selected Title 18 Provisions

F. Securities Act of 1933, Selected Provisions

G. Securities Exchange Act of 1934, Selected Provisions

H. Securities Exchange Act of 1934, Selected Rules & Regulations

I. SEC Rules of Investigation

J. Sarbanes-Oxley Act of 2002, Selected Provisions

K. Investment Advisers Act of 1940, Selected Provisions

L. Rules and Regulations under the Investment Advisers Act of 1940

M. Investment Company Act of 1940, Selected Provisions