The death of Sen. Robert Byrd (D-W.Va.) may have delayed a final Senate vote on financial regulatory reform until next week, but Washington insiders say ...
Thirteen days after SEC examiners arrived last month at his RIA to conduct a for-cause exam inspired by a tip, CEO/CCO Ken McLeod shot himself, ...
SEC commissioners voted unanimously Wednesday to adopt new Advisers Act rule 206(4)5 to counter so-called pay-to-play frauds in which advisers pony up for the right ...
Rose Rudden is looking at a $65,000 fine and at least a one-year bar from supervision after an administrative law judge sided with the SEC ...
This is the latest version, subject to late changes, of the House-Senate conferees' version of the Dodd-Frank financial regulatory reform legislation. This is current as ...
A paper prepared by Ed Pittman of Dechert in Washington, D.C., that takes an early look at the SEC's description of its pay to play ...
A copy of the Senate's investigation into the SEC's handling of the Gary Aguirre case.
Some firms that are considered the highest frequency traders have received subpoenas for data designed to help regulators understand the cause of the May 6 ...
You have until August 23rd to let the SEC know what you think of its new target date funds proposal. The proposed rule has been ...
These pages have carried news of the Bay State's new data security rules so it came as a big surprise when a CD arrived in ...