Preparing for SEC inspections and examinations
By: co-chairs, Lori A. Richards, Harry J. Weiss.
Contributors: Richards, Lori A.; Weiss, Harry J.; Practising Law Institute.
Series: Corporate law and practice course handbook series ;; no. B-1066; Corporate law and practice course handbook series ;; no. 1066.
Publisher: Practising Law Institute
Published: 1998
Place of publication: New York
Language: eng
Number of pages: 576
Subjects: United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations.; Securities -- United States.; Investment advisors -- Legal status, laws, etc. -- United States.
Notes: Prepared for distribution at a program of the same name held August 1998.
"B0-008A"--Spine.