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03982aam a2200469 i 4500 001 9296CA90F11E11E79D0FC10F97128E48 003 SILO 005 20180104010254 008 151013t20152015nyuac b 001 0 eng d 020 $a 1402425368 020 $a 9781402425363 035 $a (OCoLC)923858464 040 $a CGQ $c CGQ $e rda $d PQD $d OCLCO $d UtOrBLW $d SILO 245 00 $a Securities law and practice, 2015 : $b how the SEC works / $c chair, Clifford E. Kirsch. 246 10 $a How the SEC works 264 1 $a New York, New York : $b Practising Law Institute, $c [2015] 300 $a 932 pages : $b illustrations, portraits ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B2198 500 $a "#59159."--Spine. 505 20 $t Not Your Father s Ethics Environment Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? / $r Giovanni P Prezioso Cleary Gottlieb Steen & Hamilton LLP $t The Investor s Advocate: How the SEC Protects Investors, Maintains Market Integrity, and Facilitates Capital Formation -- $t The Laws That Govern the Securities Industry -- $t Registration and Periodic Reporting Under the Exchange Act / $r Gary M Brown Chief Executive Officer, CMG Life Services Inc. -- $t Regulatory Framework of Securities Act Registration / $r Gary M Brown Chief Executive Officer, CMG Life Services Inc. -- $t Securities Act of 1933 / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Securities Exchange Act of 1934 / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Investment Advisers Act of 1940 / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Investment Company Act of 1940 / $r Clifford E Kirsch Sutherland Asbill & Brennan LLP -- $t Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer -- $t Not Your Father s Ethics Environment Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? / $r Giovanni P Prezioso Cleary Gottlieb Steen & Hamilton LLP 500 $a "Prepared for distribution at the Securities Law and Practice 2015: How the SEC Works Program, New York City, September 30, 2015."--Page 5 504 $a Includes bibliographical references and index. 650 0 $a Securities. $0 http://id.loc.gov/authorities/subjects/sh85119463 650 0 $a Stockholders. $0 http://id.loc.gov/authorities/subjects/sh85128216 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 610 10 $a United States. $t Securities Act of 1933. $0 http://id.loc.gov/authorities/names/n83303648 610 10 $a United States. $t Securities Exchange Act of 1934. $0 http://id.loc.gov/authorities/names/n80159036 610 10 $a United States. $t Investment Advisers Act of 1940. $0 http://id.loc.gov/authorities/names/no95041356 610 10 $a United States. $t Investment Company Act of 1940. $0 http://id.loc.gov/authorities/names/no2009104955 650 0 $a Investment advisors. $0 http://id.loc.gov/authorities/subjects/sh85067705 650 0 $a Stockholders $x Protection. 650 0 $a Disclosure in accounting. $0 http://id.loc.gov/authorities/subjects/sh85038334 650 0 $a Disclosure of information. $0 http://id.loc.gov/authorities/subjects/sh90003174 650 0 $a Securities industry. $0 http://id.loc.gov/authorities/subjects/sh88002013 650 0 $a Executives $x Salaries, etc. $0 http://id.loc.gov/authorities/subjects/sh85046302 650 0 $a Legal ethics. $0 http://id.loc.gov/authorities/subjects/sh85075748 700 1 $a Kirsch, Clifford E., $e chair. $0 http://id.loc.gov/authorities/names/n96028333 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2198. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20180104053404.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=9296CA90F11E11E79D0FC10F97128E48Initiate Another SILO Locator Search