SEC Commissioner Lizárraga favors modernizing ‘dealer’ oversight

"Absent today’s reforms, our capital markets and financial regulators would continue to lack key data, and therefore limited oversight, over an unregistered segment of the market"

To read this article, you need to sign in.

You should only be asked to sign in once. Not the case? Click here

New to Regulatory Compliance Watch?

Register now to read this article and more for free.