The Commission settled its market crisis based enforcement action against Kimon P. Daifotis, former Chief Investment Officer for Fixed Income for Schwab YieldPlus Fund. The case involving Mr. Daifotis was one of the first to apply the Supreme Court’s teachings …
Tag: Dodd Frank
Commissioner Paredes Discusses The SEC Regulatory Agenda
Change, the future and the Commission’s regulatory agenda were the subject of SEC Commissioner Troy Paredes remarks to before the Society of Corporate Secretaries & Governance Professionals, 66th National Conference on “The Shape of Things to Come.” (July 13, 2012). …
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