REGULATORY UPDATES -
Allison Herren Lee Sworn in as Commissioner -
On July 8, 2019, Allison Herren Lee was sworn into office as a Securities and Exchange Commission (“SEC") Commissioner. Lee was nominated to the SEC by...more
11/6/2019
/ Division of Investment Management ,
Enforcement Actions ,
ETFs ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
OCIE ,
Proxy Voting Guidelines ,
Regulation Best Interest ,
Securities and Exchange Commission (SEC) ,
Testing-the-Waters Communications