Amid talk of a return of the Uptick rule, the SEC has set up a meeting for April 8 to discuss whether to propose short ...
For the first time, the SEC's proposed budget for FY2010 would top $1 billion. If Congress approves that amount, the agency would be able to ...
It lasted nearly 70 years before the SEC banished the so-called Uptick rule in 2007 and now - not even two years later - the ...
Some days the investor was a Swiss money manager. Other days a private bank in Switzerland. In the end, the deep-pocketed investor was simply a ...
The task before Congress looms large: restructuring the financial regulatory system to prevent another market meltdown. Lawmakers are being urged to close regulatory gaps, harmonize ...
The numbers don't lie. The SEC took action last year to curtail naked shorting and newly released data by the agency show a dramatic fall ...
Disgraced investment adviser Bernard Madoff pleaded guilty March 12 to 11 felony counts of securities fraud and was sent to jail pending a formal sentencing ...
If a trader produces more than one trade error a week or if a specific client's account suffers multiple trade errors within a few days, ...
Reports from across the country describe a pattern of almost frenetic activity by SEC examiners visiting investment advisory firms in recent weeks. The top issues ...
If you get a call from someone purporting to be an SEC examiner asking for documents for an "emergency" exam, ask for the caller's name, ...