Enforcement

Here are 8 tips to can help make your experience with the SEC 'most helpful'

You could almost hear a sigh of relief breathed by CCOs at dual registrants who have had to respond to separate SEC and CFTC exams ...

If there’s going to be a run on the (non)bank, no one in Washington will be left holding the bag.

The case shows regulators can still move aggressively

The manual speaks to ranking investigations, listing several factors to consider, including 'whether the matter involves misconduct by persons occupying positions of substantial authority or ...

The Commission promises to update the new manual on an annual basis. RCW will highlight the changes in this week's Weekly Briefing

Nearly one in five SEC staffers has fled the agency in less than a year. It only looks like relief.

In her first speech as Enforcement Division chief, Meg Ryan acknowledges her "resources are limited" and she wants to use them "judiciously."

Regulators want ideas on how to build out the "known investor" program.

The clock ticks down to on SEC that has been under the Paul Atkins’ administration for nearly one year. How’s it going as it relates ...