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Formal Order

Book Publication Date: Jul 2021
Description: Hypothetical sample formal order from the SEC to securities firm directing private investigation and designating officers to take testimony
Type: Other Document Templates
PLI Item #: 41017
Practice Area: Broker-dealers, Investment fund management, Practice skills (Securities and other financial products), Regulation and compliance (Securities and other financial products), Securities and other financial products, Securities filings and financial statements

Keywords: "Formal Order"; Securities and Exchange Commission; SEC; SEC/SRO investigation; variable annuity products; fraudulent sales

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