S1E7 - Investigations with Jim Etri of the SEC
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S1E7 - Investigations with Jim Etri of the SEC
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About this listen
Do you want to avoid SEC investigations? Or least manage them more effectively? Learn a bit about how the SEC launches and runs investigations without actually being subject to one.
In this episode, I interview Jim Etri - Assistant Regional Director of the Dallas/Fort Worth section.*
- Even if you have signed an NDA with your (ex)employer, there are protections in place for whistleblowers.
- We also discussed why self-reporting potential securities violations may be the smartest thing to do.
* - his views are his own and not officially those of the SEC.
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