Muriel Raggi

SEC Spotlight: Enforcement And Regulatory Developments In The First Quarter Of 2022

Recent SEC Settlement Shows Remediation Goes A Long Way In Avoiding Fraud Penalties

SEC Focus On RIA And BD Compliance & Complex Financial Products: What You Need To Know

One Year Later: Regulators Issue Guidance To Financial Professionals And Firms About The Senior Safe Act

SEC Scrutinizes Registered Investment Adviser's Statements to Investors About Due Diligence