If you follow professional sports, you’ll recognize some of these names. Late one night, retired professional basketball player Dikembe Motumbo went to use his American ...
Nearly 100 letters came into the SEC by the time it closed the comment period March 28th for its derivatives proposal that was released late ...
Some financial services firms have bristled at the prospect of the Financial Stability Oversight Council labelling them a systemically important financial institution. Now a federal ...
Dodd-Frank gave the SEC the power to take more of its enforcement cases to its administrative proceedings setting rather than the courts. A new study ...
If you work at a firm that’s dual- or even tri-registered, you know the hassles of having to report to more than one regulator. A ...
SEC commissioners unanimously agreed: Former Stanford Financial Group CCO Bernerd Young displayed “obvious unfitness for employment in the securities industry” in helping to perpetrate Stanford's ...
Ask people about the importance of the 30-year-old SEC Clover Capital no-action letter and you hear responses that speak to its staying power: “It’s ...
Like many SEC-registered investment advisers, the Commission itself has no shortage of key information technology initiatives it would like to pursue. Rather, the key is ...
A new report from the SEC’s Inspector General reveals that OCIE expects to receive a consultant’s report by September on ideas for bulking up its ...
As the SEC’s Division of Investment Management prepares a recommendation for the Commission to formally revise two advisers act rules in response to the Fast ...