A new report from the Government Accountability Office finds the SEC's Reg SHO had at least a temporary effect to reduce the number of securities ...
The latest innovation being introduced by SEC Chairman Mary Schapiro is the creation of a 15-member committee - including representatives from at least four RIAs ...
A federal judge ruled against the SEC last month in a four year-old insider trading case when the agency failed to show the tipper benefited ...
A bill proposed by a Republican in a Congress dominated by Democrats may not stand much of a chance but you may wish to know ...
In what began as a routine SEC exam in September 2008 has ended with fraud charges against a California investment advisory firm and its principal ...
For years, mostly institutional investors would issue their RFPs to advisers with that one line that would disarm: "Please include a copy of your most ...
Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...
A proposed rule in the June 5, 2009 Federal Register designed to deter money laundering would declare mutual funds to be financial institutions under the ...
SEC Chairman Mary Schapiro argued for an increase in her agency’s budget before Congress on Tuesday. She urged lawmakers to approve President Obama’s proposed FY ...
A copy of the SEC's 2009 CCOutreach documents on custody and the Division of Investment Management's summary of recent SEC rulemaking.