SEC Names Monique Winkler as Regional Director of San Francisco Office streetinsider.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from streetinsider.com Daily Mail and Mail on Sunday newspapers.
On April 26, 2022, the SEC's Division of Examinations ("EXAMS") issued a risk alert flagging certain notable deficiencies that it has observed related to advisers' potential misuse of material non-public information.