In the first serious look at SEC employees rotating between the agency and industry, a public interest group found that 219 former agency employees filed ...
President Obama is asking the Senate to formally approve Washington, D.C. attorney and former SEC staffer Daniel Gallagher as a new SEC commissioner. The president ...
With insider trading very much in the news, you will want to consider a number of tips to discourage reps at your firm from engaging ...
There's disagreement over whether Massachusetts' new regulatory proposal governing IA relationships with expert networking firms would apply to firms outside the state, but it certainly ...
You know you must stay away from testimonials or risk the wrath of the SEC but sharing a partial client list - within certain bounds ...
The SEC wouldn't look kindly upon advisory firms that retaliate against a whistleblower but evidence suggests the agency hasn't been so kind to its own ...
A rash of recent enforcement cases naming CCOs begs the question: Are regulators taking aim at failed compliance professionals?In recent weeks we've witnessed the ordeals ...
Proposed Rules for Nationally Recognized Statistical Rating Organizations (Commissioner Kathleen L. Casey; May 18, 2011) Speech by SEC Commissioner: Proposed Rules for Nationally Recognized Statistical ...
Opening Statement at SEC Open Meeting (Chairman Mary Schapiro; May 18, 2011) Speech by SEC Chairman: Opening Statement at SEC Open Meeting by Chairman Mary ...
Continuing to Improve the Quality, Transparency, and Reliability of Credit Ratings (Commissioner Luis A. Aguilar; May 18, 2011) Speech by SEC Commissioner: Continuing to Improve ...