Margaret Murphy

Margaret Murphy

Blank Rome LLP

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Regulatory Update and Recent SEC Actions - October 2019

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

10/24/2019  /  Enforcement Actions , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , OCIE , Penalties , Proxy Voting Guidelines , Regulation Best Interest , Securities and Exchange Commission (SEC)
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