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 ...

With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...

The most difficult aspect of testing could be documenting what you do, so consider this outline as a guide: Briefly describe the test. Bullet-point the ...

One month into the reign of the SEC's new Chairman Mary Schapiro and it looks like the horses are out of the gates. IA Week ...

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 ...

Copy of SEC sweep exam letter related to rumors.

No-Action Letter: Wachovia Securities LLC (February 18, 2009) Investment Advisers Act of 1940 — Rule 206(4) and Section 206(4) Wachovia Securities LLC February 18, 2009 ...

A sanitized copy of an SEC exam document request letter from February 2009.

A tool to use for forensic testing. This is an ideal cover sheet for each test, courtesy of David Hunt of Dallas.