Updated Wednesday, April 16, 2014 as of 2:58 PM ET
Practice - Regulatory/Compliance
Enforcement Director to Leave SEC
Wednesday, January 9, 2013
Print
Email
Reprints

As advisors wait to see whether they'll be regulated by the Securities & Exchange Commission or FINRA, the SEC announced that its enforcement director, Robert Khuzami, will leave the agency, in a highly anticipated move.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Lists
Advisors on the Move: Cambridge Snags $500 Million Team

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here