David Goldberg

David Goldberg

Katten Muchin Rosenman LLP

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SEC Issues Frequently Asked Questions on Supervisory Liability of Broker-Dealer Compliance and Legal Personnel Under Section...

On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more

10/14/2013  /  Broker-Dealer , Chief Compliance Officers , Compliance , Corporate Counsel , Securities and Exchange Commission (SEC) , Securities Exchange Act , Supervisors
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