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SEC Designated Compliance Officer Letter


Book Publication Date: Feb 2013
Description: Sample letter from the SEC to the DCO of an NRSRO regarding compliance with Securities Act rules.
Type: Letters
PLI Item #: 50423
Practice Area: Enforcement (Securities and other financial products), Securities and other financial products

Keywords: SEC; DCO; designated compliance officer; NRSRO; nationally recognized statistical ratings organization; credit ratings

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