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Wells Submission Guidelines

Book Publication Date: Jul 2021
Description: Sample Wells submission on behalf of fictional securities firm under SEC investigation
Type: Other Document Templates, Contracts
PLI Item #: 41023
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: "Wells Submission Guidelines"; "SEC investigation"; regulatory investigation; publicly held company; staff allegations; investigatory record; review and compliance procedures; written supervisory procedures; Securities and Exchange Commission

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