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: Securities Law Prof Blog

SEC Staff Issues ComplianceAlert on Common Deficiencies

By Securites Lawprof

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On July 22 the SEC staff released a new ComplianceAlert letter identifying common deficiencies and weaknesses that SEC examiners have recently found during compliance examinations of firms registered with the SEC (which includes investment advisers, investment companies, broker-dealers, and transfer...

Full post as published by Securities Law Prof Blog on August 04, 2008 (boomark / email).

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