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 ...

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 ...