The SEC’s recent aggressive enforcement posture against chief compliance officers has raised many concerns, including whether the SEC’s actions are actually chilling robust compliance efforts. To protect themselves against...more
The Chief Counsel of the SEC’s Division of Trading and Markets recently issued an important no-enforcement letter regarding the status of a person engaged in effecting transactions in connection with the transfer of ownership...more
2/19/2014
/ Broker-Dealer ,
Brokers ,
Finders ,
Gramm-Leach-Blilely Act ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
No-Action Letters ,
Privately Held Corporations ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Transaction-Based Compensation