Rubin, Brian L.; Brun, Carmen L.; Stewart Faulkner, Jaliya - In: Journal of Investment Compliance 14 (2013) 2, pp. 5-20
Purpose – The purpose of this paper us to summarize the remarks of the Commissioners and participants in several panel sessions and workshops during the 2013 annual “SEC Speaks” conference held by the Practising Law Institute in cooperation with the US Securities and Exchange Commission,...