Home SEC Operations

SEC Operations

If SEC examiners called you recently promising to be on-site for an exam this week, don't assume the partial shutdown of the federal government will ...
If you lived through it, you'll never forget it - nor wish to repeat it. Many believe the financial crisis was sparked by the failure ...
The question of whether victims of the Stanford Ponzi scheme were customers who should have received some compensation from the Securities Investor Protection Corp. resurfaced ...
Apparently it's called a "corrective action review" and OCIE's projecting that it will occur in 5% of IA/IC exams. If examiners find many deficiencies and ...
Last week the SEC officially named Jane Jarcho as the national associate director of the investment adviser and investment company exam program within OCIE. She ...
Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with Congress ...
SEC commissioners have rejected the proposed enforcement settlement with Philip Falcone and his firm Harbinger Capital Partners ($3.1B in AUM) in New York (IA Watch, ...
It just got easier for the SEC to book a trip to Europe to check on an investment adviser doing business there and for EU ...
For the first time in the nearly four-year history of the SEC's Asset Management Unit (IA Watch, Jan. 18, 2013), the branch of the Enforcement ...
You'd expect two former Senate staffers to encounter a friendly bunch when appearing before the Senate Banking Committee to forward their nomination to be SEC ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination