Examinations Enforcement: SEC Actions

The man who spent nearly a decade tipping off the SEC to his belief that Bernie Madoff ran the world's largest Ponzi scheme surfaced last ...

Two new exam letters obtained by IA Week highlight regulators' new interests: firms' relations with broker-dealers, adviser's dealings with Bernie Madoff and their pursuit of ...

A listing of hot SEC exam topics from 2007 - 2008.

No-Action Letter under: Investment Company Act – Section 11 National Association for Variable Annuities; Insurance Marketplace Standards Assn; American Council of Life Insurers June 19, ...