Ken C. Joseph, the SECâ€"s Head of Investment Adviser/Investment Company Examination Program in the New York Regional Office, is set to resign after 21 years of service. During his tenure with the Enforcement Division, Joseph investigated an array of alleged violations of the federal securities laws, including those involving financial fraud, auction rate and subprime securities, hedge funds, private equity funds, special purpose entities, auditors, investment advisers, investment companies, self-regulatory organizations, transfer agents and broker-dealers.
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