On September 26, Faith Colish served as a panelist on the SEC’s roundtable and webcast that covered a broad range of market participants, regulators and industry experts concerning potential steps that might be taken to enhance the ability of regulators, broker-dealers and others to combat retail investor fraud. Participants included all five members of the SEC, including Chairman Clayton, and the Director of the Division of Trading & Markets. Ms. Colish spoke on how changes in the regulatory framework for finders and private placement brokers could affect retail investors.
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