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.