Winer, Kenneth B., Winer, Samuel J. 　著

内容

目次

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