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About The Book
The Second Edition of the Securities Enforcement Manual focuses on the discussion and analysis of the tactics and strategies appropriate for the representation of clients faced with securities enforcement threats in the current harsher securities enforcement environment. It is written by practicing lawyers with many years of enforcement experience and who have had intensive recent experience in adapting long-practiced tactics and strategies to the new environment. Like the First Edition of the Manual, the Second Edition retains its emphasis on the practical rather than the academic. At the same time, it contains an extensive update of the practices, procedures, and legal framework for securities inspections, investigations, and enforcement actions not only by the SEC, but by criminal prosecutors, the SROs, state securities regulators, and foreign securities regulators. It will hopefully be useful not simply as a training tool for beginning lawyers but as a practical and thorough guide for experienced securities lawyers, general litigators, and other practitioners who do not deal on a day-to-day basis with securities regulators.
