SEC Inspector General Kotz Leaving Agency
The SEC on Tuesday said that its inspector general, H. David Kotz, will leave the agency at the end of January to become the managing director in the Washington office of the private investigative services firm Gryphon Strategies.
Soft dollars won't be going as far as they used to in the new regulatory environment which means that investment advisors may have to change...
Clarity Over SEC Rule 202 (a) (11)-1?
Villanova Law School hosts summit to discuss compliance with the Merrill rule