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Securities regulators fighting a surge in COVID-19 related scamswww.denverpost.com › › securities-regulators-fighting-covid-s...
www.denverpost.com
Oct 24, · Tom Piccone, associate regional director with the U.S. Securities and Exchange Commission in Denver, said brokerage firms and advisers need ...
A Conversation with the Staff of the SEC Denver Regional Officewww.mofo.com › resources › events › sec-denver-regional-office-...
www.mofo.com
This special program is in partnership with DU Law School, including speakers Tom Piccone, Associate Regional Director of the SEC Denver Regional Office and ...
SEC to use outside auditors to confirm advisory firm recordswww.investmentnews.com › sec-to-use-outside-auditors-to-confirm-advisor...
www.investmentnews.com
Jan 5, · ... to verify assets, said Tom Piccone, assistant director of the SEC's Denver regional office, said during a separate conference session.
SEC to use outside auditors to confirm advisory firm records
www.investmentnews.com
Securities and Exchange Commission examiners will turn to outside auditors and other third parties to help verify records at investment advisory and...
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