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November 2010

Securities Investigations: Internal, Civil and Criminal

Published by Practising Law Institute

Edited by Lee Rubin, John Tharp, Steven Wolowitz


The new Second Edition of Securities Investigations: Internal, Civil and Criminal is a practice-oriented reference for practitioners who need to know not only the most recent law governing internal, civil, and criminal investigations involving potential violation of the securities laws, but also the nuances and practical tips that can only be shared by lawyers deeply experienced in such investigations.

The treatise provides an overview of enforcement efforts and response strategies, followed by discussions of relevant substantive legal provisions, including the Securities Act of 1933, the Securities Exchange Act of 1934, and the Sarbanes-Oxley Act of 2002; an examination of internal investigations, including SEC, DOJ, and FINRA Guidance, and issues under the attorney-client privilege and the work product doctrine; a detailed review of the types of securities investigations, including SEC and FINRA investigations, and issues under cross-border regulation and the Foreign Corrupt Practices Act; and an in-depth examination of the various issues applicable to all types of securities investigations, including whistleblower protection under the Dodd-Frank Wall Street Reform and Consumer Protection Act and privacy considerations.

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