rahns, Author at RMO Lawyers, LLP | Probate, Trust, Estate Litigation Attorneys - Page 2 of 2
Follow Us:

rahns

Partnering with a law firm is essential to be in compliance with securities regulatory issues

At times, publicly traded companies and corporations can find themselves the focus of a government inquiry or investigation. These inquiries may come from securities regulatory enforcement agencies such as the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA). The inquiries and investigations can center around any …

Partnering with a law firm is essential to be in compliance with securities regulatory issues Read More »