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Home Private Funds PF Latest News Commissioners: Keep open mind on fintech
Massachusetts-based broker-dealer MML Investment Services has agreed to pay $4.75 million to state regulators to settle claims it failed to supervise one of its employees in the notorious GameStop "raid"
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PF Latest News

Commissioners: Keep open mind on fintech

'A regulator who always says "no" is not serving investors well,' Peirce says.

Bill Myers -
September 16 2021

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  • TAGS
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  • SEC: Rulemaking
  • SEC: Regulators
  • Private Funds
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