Tag: reorganization

The Center for Capital Markets Competitiveness, U.S. Chamber of Commerce, published a new report calling for what it terms “transformational change” at the SEC. It is aptly titled: “U.S. Securities and Exchange Commission: A Roadmap for Transformational Reform” The Report …

U.S. CHAMBER CALLS FOR “TRANSFORMATIONAL CHANGE” AT SEC Read More »

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The reorganization of the Division of Enforcement which spawned the re-introduction of specialty groups was, in part, designed to focus the resources of the Division and increase efficiency and effectiveness. Three recently filed cases are an example of the results …

A PROACTIVE APPROACH TO ENSURE ADVISORS ADOPT PROCEDURES Read More »

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