Lauren Heller

Skadden, Arps, Slate, Meagher & Flom LLP

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"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

On April 5, 2013, David W. Blass, Chief Counsel of the Securities and Exchange Commission’s Division of Trading and Markets, addressed the American Bar Association’s Trading and Markets Subcommittee.1 Mr. Blass’ remarks...more

4/23/2013 / Broker-Dealer , Fund Managers , Investment Adviser , Ranieri Partners , Registration , Securities and Exchange Commission (SEC)

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Lauren Heller

Skadden, Arps, Slate, Meagher & Flom LLP

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Latest Posts › Fund Managers

"SEC Staff Warns That Advisers May Be Required to Register as Broker-Dealers"

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