Handling an SEC InvestigationPractising Law Institute, 1979 - 760 páginas |
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2d Cir 9th Cir Act Release alleged Amendment AMINEX apply assets attorney attorney-client privilege audit auditors bidder bidder's tender offer broker-dealer business days CCH Fed client collateral estoppel commencement Commission's Corp corporate counsel Court defendants directors disclose documents employees enforcement action Exchange Commission FCPA federal securities laws Fifth Amendment filing financial statements given to security internal accounting control investors issue issuer judgment jury matter ment NASD officer paragraph Parklane Hosiery Parklane Hosiery Co person Peter Starr Plaintiff practice privilege procedures proposed Rule proxy statement pursuant registration statement Regulation Report request respect Rule 2(e S.D. Cal Schedule 13D scienter SEC investigation SEC Lit SEC's Securities Act Securities and Exchange Securities Exchange Act security holders sent or given settlement shareholders Sparco Spartek stockholder list subject company subpoena Supp supra tender offer materials thereunder tion transactions Transfer Binder trial United violations Williams Act