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: Securities Law Prof Blog

Richards on SEC Exams of Investment Advisers

By Securites Lawprof

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Speech by SEC Staff: Focus Areas in SEC Examinations of Investment Advisers: the Top 10, by Lori A. Richards, Director, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission, at the IA Compliance Best Practices Summit 2008, IA...

Full post as published by Securities Law Prof Blog on March 20, 2008 (boomark / email).

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