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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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United statesPublic schoolNew yorkHarris assocsJed rakoffWilliam birdthistleCorey schusterMark uyedaGary genslerCaroline crenshawThomasp smith jrGurbirs grewalHester peirceNatasha vij greinerColumbus school of lawShare provisions violate the investment company

Investment Management Legal And Regulatory Update - April 2024 - Financial Services

The SEC announced on February 28, 2024 that William Birdthistle, the Director of the Division of Investment Management, would leave the SEC effective March 8, 2024.

United statesWilliam birdthistleNatasha vij greinerJames madison universityDivision of investmentMoney laundering programCatholic university of americaFinancial crimes enforcement network finChicago regional officeDivision of examinationsNational security threats in investment adviser sectorInvestment adviser companyCommunications recordkeeping failuresColumbus school of lawFinancial crimes enforcement network fact sheetDivision of enforcement

Natasha Vij Greiner to Replace William Birdthistle at SEC | Chief Investment Officer

A veteran of more than 20 years at the SEC, Greiner takes over investment management after Birdthistle spent more than two years leading the division.

United statesNatasha vij greinerWilliam birdthistleDivision of tradingHome officeDivision of examinationsKent college of lawDivision of investment managementInvestment adviser companyJames madison universityExchange commissionCatholic university of americaInvestment managementAssociate directorInvestment companyPrivate funds unit

SEC gov | SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management

SEC gov | SEC Announces Departure of William Birdthistle; Natasha Vij Greiner Named Director of the Division of Investment Management
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United statesUniversity of chicagoGary genslerNatasha vij greinerWilliam birdthistleDuke universityExchange commissionDivision of tradingColumbus school of lawUniversity of chicago law schoolHome officeInvestment adviser companyDivision of enforcementKent college of lawCatholic university of americaDivision of examinations

Securities and Exchange Commission in the New Year

Securities and Exchange Commission in the New Year
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Los angelesUnited statesNew jerseyWest virginiaKatee zoladzTaisha johnsonKathryn pyszkaDanielr gregusKate zoladzCorey schusterStephanie allenDaniel gregusWilliam sadleirGary genslerVanessa hortonChicago regional office