Regulation
For Fixed-Income Securities
S.E.C.
By Fórmate a FondoAppointments
Succeeds Stephen L. Cohen
Melissa Hodgman Named Associate Director in SEC Enforcement Division
Regulation
868 Enforcement Actions
SEC´s Enforcement Actions Against Investment Advisors Hit Record High
Appointments
In the San Francisco office
Kristin Snyder Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
Markets
Must Satisfy Some Conditions
SEC Approves IEX Proposal to Launch National Exchange
Regulation
Second-Largest Issued by the S
SEC Issues $17 Million Whistleblower Award
Regulation
Including Dark Pools
