Emily Stern

Emily Stern

Katten Muchin Rosenman LLP

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SEC Oversight of FINRA Exempt from FOIA Request

The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating to its audit, inspections, and review of the Financial Industry Regulatory...more

3/27/2013 - Audits Document Productions FINRA FOIA SEC

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