SEC Operations

The U.S. Securities and Exchange Commission may consider significant changes to the definition of “accredited investor” pending a recommendation of an Investor Advisory Committee. The ...

Looks like the SEC has declared defeat in its battle to get the Securities Investor Protection Corporation to insure against investor losses incurred in the ...

The SEC’s first Investor Advocate Rick Fleming urged Congress to pass legislation allowing the agency to charge investment adviser user fees to pay for more ...

Securities Exchange Act of 1934Section 4 -- Securities and Exchange Commission Establishment; composition; limitations on commissioners; terms of officeThere is hereby established a Securities and ...

(a) ESTABLISHMENT AND PURPOSE.— (1) ESTABLISHMENT.—There is established within the Commission the Investor Advisory Committee (referred to in this section as the ‘‘Committee’’). (2) PURPOSE.—The ...

A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...

The verdict's in. Earlier this month, the U.S. Court of Appeals for the District Of Columbia Circuit ruled against the SEC in its three-year lawsuit ...

It wasn't a good week for Rep. Maxine Waters (D-Calif.) and her bill, H.R. 1627, that would permit the SEC to charge user fees to ...

Should another Madoff crime occur, Congress can't say it wasn't warned. Last week, the SEC's new Office of the Investor Advocate came out for additional ...

In one case, a departing employee shipped internal documents to his new employer. In another, a former SEC examiner took records of exam reports he ...