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A Practical Guide to Defending Investigations and Administrative Proceedings Before the Massachusetts Securities Division Enforcement Section

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  • Product Number: 2204951WFM
  • Publication Date: 9/3/2020
  • Edition: 2nd Edition 2020
  • Copyright: © 2020 MCLE, Inc.
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  • Product Description
  • Table of Contents
  • Editors & Authors
  • Product Description

    Product Description

    Definitions, authority, insight, strategy—all in one comprehensive manual. A must-have desk reference for lawyers who represent clients in proceedings before the Massachusetts Securities Division's Enforcement Section, this book offers a wealth of practical information to readers at every level of sophistication. The authors of this practical guide cite the Division's authority and offer a defense perspective on its rules and decisions. They draw comparisons between Massachusetts' and other jurisdictions' practice. Well-organized for quick reference, this book offers a clear, concise treatment of an otherwise complex practice area. Whether you are a novice to state securities regulation or veteran counsel, you need this book to unravel and better understand Massachusetts Securities Division investigation, enforcement—and authority.

    Recent updates:

    • Update: August 2020

      Dear Subscriber:

      Thank you for updating your reference library with this revised edition of A Practical Guide to Defending Investigations and Administrative Proceedings Before the Massachusetts Securities Division Enforcement Section. This concise resource for lawyers who represent clients in proceedings before the Massachusetts Securities Division's Enforcement Section has been fully updated for 2020.

      Highlights of the new edition include:

      • an introduction to the Securities Enforcement Division and a review of its specific enforcement powers;
      • a thorough, step-by-step explanation of the Massachusetts Uniform Securities Act;
      • analysis of relevant case law; and
      • clear guidance regarding sanctions, remedies, and investigatory procedure.

      Thank you for your continued support for MCLE's publications.

      Cordially,

      Alexis J. LeBlanc, Esq., MCLE Publications Attorney

  • Table of Contents

    Table of Contents

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    Chapter 1 expand

    The Massachusetts Securities Division and Its Enforcement Powers

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    Exhibit 1A

    - Additional Resources for Research Buy Form
    Chapter 2 expand

    The Elements of the Act’s Anti-Fraud Provisions

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    John R. Snyder, Esq., Potomac Law Group PLLC
    Chapter 3 expand

    Sanctions and Remedies

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    Chapter 4 expand

    Investigations

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    Exhibit 4A

    - Subpoena Response Verification Form Buy Form
    Chapter 5 expand

    Adjudicatory Proceedings

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    Chapter 6 expand

    Judicial Review

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    John R. Snyder, Esq., Potomac Law Group PLLC
  • Editors & Authors

    Author(s)

    John R. Snyder, Esq., Potomac Law Group PLLC, Boston
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