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: Securities Law Prof Blog

SEC's Richards Speaks on Examinations

By Securites Lawprof

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Lori Richards, Director, Office of Compliance Inspections and Examinations, SEC, spoke on Frequently-Asked Questions About SEC Examinations, at the SIFMA Compliance and Legal Division January General Luncheon Meeting, New York, N.Y., on January 17, 2008. Her office is responsible for...

Full post as published by Securities Law Prof Blog on January 18, 2008 (boomark / email).

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