Insights
SEC Works to Make Settlement Negotiations Quicker, Simpler
Ignites
July 10, 2019
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.