James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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SEC 2013 Examination Priorities

The Securities and Exchange Commission’s National Examination Program (NEP) published its examination priorities for 2013. The examination priorities address market-wide issues as well as issues with respect to the following...more

3/6/2013 - Conflicts of Interest Data Protection Fraud NEP Risk Management SEC

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