What people are saying - Write a review
We haven't found any reviews in the usual places.
17 C.F.R. Section access request agencies appropriate approval assertion assigned staff Assistant Director attorney attorney-client privilege Bank Secrecy Act Basics Bates stamping broker-dealers BSA material Chief Counsel circumstances Commission Commission's communication confidential Considerations cooperation copy criminal authorities Currency Transaction Reports determine disclosure Division of Enforcement Division's e-mail ECPA employee enforcement action entity or individual evidence Exchange Act federal securities laws Fifth Amendment FinCEN formal investigation formal order Further Information Head of Enforcement Home Office informal referral investors involved issue Letter Rogatory litigation Manual matter MLATs non-public notice obtain Office of Chief Opening a MUI order of investigation party PCAOB person potential violations Privacy Act procedures pursuant recommendation records regulated entities relevant responsive SEC's Rules Relating senior official seriatim staff members staff should consider staff should consult staffs investigation statute of limitations subpoenaed entity supervisors testimony U.S.C. Section voluntary witness witness's