Monthly Archives: November 2015

On October 23, 2015, David Grim, the Director of the SEC’s Division of Investment Management, appeared before a subcommittee of the House Financial Services Committee.  A comment he made, which prompted the writing of this article was, “Division staff, working … Read More ›

On October 14, 2015, Buddy Donohue, a former Director of the SEC’s Division of Investment Management (the SEC Office that develops Rules for Investment Advisers and Investment Companies), and currently the SEC’s Chief of Staff (the senior adviser to Chair … Read More ›