SEC Works to Make Settlement Negotiations Quicker, Simpler

10.07.2019 | Ignites

David Mahaffey was quoted in the article, “SEC Works to Make Settlement Negotiations Quicker, Simpler,” which was published by Ignites [sub. req.] on July 10, 2019.

In the article, David discusses some of the consequences financial firms face when they are settling cases with the SEC. For instance, the SEC bans broker-dealers’ affiliated units from serving as an adviser to an investment company.

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