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SEC Examinations

For the first time, the SEC's proposed budget for FY2010 would top $1 billion. If Congress approves that amount, the agency would be able to ...
The SEC, under new Chairman Mary Schapiro, is freeing things up to enable staff to act faster and with more efficiency - an effort that ...
One senator characterized the "calamitous failure" to detect Bernard Madoff's alleged Ponzi scheme as the "darkest" chapter in the country's regulation of the financial services ...
The SEC set about last year trying to slay the rumor dragon, targeting the beast that employs false or malicious stories to manipulate securities. Given ...
Examiners from the SEC's New York regional office went into a 2006 investigation trying to confirm if Bernie Madoff's advisory firm was "operating a Ponzi ...
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