"#59159."--Spine. "Prepared for distribution at the Securities Law and Practice 2015: How the SEC Works Program, New York City, September 30, 2015."--Page 5 Includes bibliographical references and index.
Contents:
Not Your Father s Ethics Environment Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? / Giovanni P Prezioso Cleary Gottlieb Steen & Hamilton LLP The Investor s Advocate: How the SEC Protects Investors, Maintains Market Integrity, and Facilitates Capital Formation -- The Laws That Govern the Securities Industry -- Registration and Periodic Reporting Under the Exchange Act / Gary M Brown Chief Executive Officer, CMG Life Services Inc. -- Regulatory Framework of Securities Act Registration / Gary M Brown Chief Executive Officer, CMG Life Services Inc. -- Securities Act of 1933 / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Securities Exchange Act of 1934 / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Investment Advisers Act of 1940 / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Investment Company Act of 1940 / Clifford E Kirsch Sutherland Asbill & Brennan LLP -- Part 205 Standards of Professional Conduct for Attorneys Appearing and Practicing Before the Commission in the Representation of an Issuer -- Not Your Father s Ethics Environment Is There Increased Scrutiny of Lawyers? What is the Truth and What are the Consequences? / Giovanni P Prezioso Cleary Gottlieb Steen & Hamilton LLP
Series:
Corporate law and practice course handbook series ; number B2198
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