In the Margins
The Securities and Exchange Commission has named Paul Cellupica deputy director of the Division of Investment Management. Cellupica most recently was managing director and general counsel for securities law at TIAA, and before that he was chief counsel for the Americas at MetLife. He was at the SEC from 1996 to 2004 in a number of capacities in DIM (including assistant director from 2001 to 2004) and the Division of Enforcement. Read the full announcement from the SEC.
Most Read
Over the past several weeks, I have written articles exploring conflicts of interest that could challenge a variety of financial industry participants. Those articles explored potential ...
The Securities and Exchange Commission seems poised to grant exemptive relief to one of the earliest applicants seeking to offer an exchange-traded fund share class, just ...
The Investment Company Institute this week made public a set of recommendations to reform and modernize the Investment Company Act of 1940, which has not been ...
Securities brokerage firms are a critical part of the financial landscape, as they provide a vast array of products and services to the financial services industry, ...