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Hold Order

Book Publication Date: May 2020
Description: Sample hold order memorandum from general counsel of a securities firm to officers of firm directing them to retain documents that are the subject of SEC and FINRA investigation
Type: Other Document Templates
PLI Item #: 41018
Practice Area: Corporate & Securities
Keywords: "Hold Order"; Securities and Exchange Commission; SEC; SEC/SRO investigation; FINRA investigation; document retention; electronic documents; legal and compliance investigation

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