SEC Commissioner Uyeda addresses NASAA event

"I am especially proud of the work done by the Retail Strategy Task Force, which was formed by the SEC’s Division of Enforcement in 2017 to address frauds targeting retail investors. This task force includes enforcement personnel from around the country and works with staff across the SEC. The work of the task force complements the efforts of the SEC’s Division of Examinations"

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.