The president’s suggested budget for the fiscal year that begins in October would hike the SEC’s budget by 13% over its FY 2008 budget. Chairman ...
No-Action Letter: AXA Equitable Life Insurance Company, et al. (February 27, 2009) Investment Company Act of 1940 — Section 24(f) and Rule 24f-2 AXA Equitable ...
The new director of the SEC's Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the last ...
The SEC has charged a world-renowned financier with securities fraud in a billion-dollar scheme that stretches around the globe. Sound familiar?This time the alleged culprit ...
In what may be the first of its kind, a pension fund has sued an RIA for investing with Madoff, claiming the firm breached its ...
It was late afternoon on Dec. 11, 2008 and the self-described fraud investigator Harry Markopolos checked his cell phone while attending his children's martial arts ...