‘Enforcement 40’ for 2020
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By Securities Docket on January 8, 2020, 10:40 am
Below I offer my regulatory predictions for 2020, addressing Regulation Best Interest, closed-end funds, private equity and compliance, among others. One caveat: my crystal ball is always cloudier during a presidential election year. For example, if Jay Clayton or Dalia Blass decide to resign (not predictions, although possible based on history), all bets are off […]
By Securities Docket on June 23, 2016, 3:29 pm
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