Examinations Enforcement: SEC Actions

Last week the SEC cited a broker-dealer subsidiary of Goldman Sachs for violating Rule 204T of Reg SHO, which sets deadlines for closing out fails-to-deliver ...

Here they come again - more failure to supervise cases, including one against a CCO for neglecting to take appropriate action to investigate red flags ...

A Midwest RIA weeks ago hosted six SEC examiners for three days. They left sooner than expected, and the CCO believes they scooted because of ...

One week after the SEC charged Wall Street giant Goldman Sachs and one of its vice presidents with fraud in the sale of synthetic collateralized ...

If Madoff cast a harsh light on SEC investment advisory examiners, a new report by the agency's inspector general paints them as heroes in attempting ...

The distance between today's headlines and the topics in an SEC exam doesn't diverge much. IA Watch has obtained a document request letter from a ...

The formerly AAA rated CDOs tanked and investors allegedly lost more than $1 billion while Goldman and a VP made 'materially misleading statements and omissions' ...

A two-year investigation by multiple regulators centered around valuation has ended with civil charges filed by the SEC, FINRA and state authorities, including against two ...

A two-year investigation by multiple regulators culminated today with SEC, FINRA and state charges against an RIA, a portfolio manager and an accountant related to ...

A few paragraphs from the SEC on derivatives has some in the industry wondering what's up. Last month the agency announced it's applying the brakes ...