The Securities Enforcement Manual

The Securities Enforcement Manual

4.11 - 1251 ratings - Source

Previous edition, 1997, was edited by Richard M. Phillips, and referred to qKirkpatrick a Lockhart LLPq on title page.19, 1939) (the aquot;shingle theoryaquot; a€” distinction between reasonable and unreasonable profits for broker-dealers). In reCady, Roberts 8c Co., 40 S.E.C. 907 (Nov. 8, 1961) (insider trading standards), overruled, Chiarella v. United States, 445 U.S.anbsp;...

Title:The Securities Enforcement Manual
Author:Richard M. Phillips
Publisher:American Bar Association - 2007


You Must CONTINUE and create a free account to access unlimited downloads & streaming