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Review of the Commission's processes for selecting investment advisers and Investment companies for examination Cover Image E-book

Review of the Commission's processes for selecting investment advisers and Investment companies for examination

Review of Commission's process for selecting IA & inv co. for exams (running title)
United States. Securities and Exchange Commission. Office of Audits. (Added Author).

Electronic resources

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Record details

  • Physical Description: electronic resource
    remote
    1 online resource (57 pages).
  • Edition: Public redacted version.
  • Publisher: [Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]

Content descriptions

General Note:
"November 19, 2009.."
"Report no. 470."
FDLP Pilot Project record.
Title from PDF title screen (viewed on Mar. 5, 2010).

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Subject: Investment advisors United States
Investment banking United States
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