The breadth of rules that any SEC enforcement staff member potentially has to cover is truly staggering. The arcana of the Investment Management Division are quite different from the arcana of the Trading & Markets and Corporation Finance Divisions, but at different times the enforcement staff have to be conversant in all of it. A specialized unit devoted to financial…
Elaine C. Greenberg, the first-ever Chief of the SEC Enforcement Division’s Municipal Securities and Public Pensions Unit and long-time Associate Director of the Philadelphia Regional Office, is leaving the agency at the end of July to enter the private sector. Greenberg has served at the agency for over 25 years. via Chief of SEC Enforcement’s Municipal Securities Unit Leaving Agency…
The first enforcement actions from the SEC’s new municipal bond unit may become public by as early as this summer.