SEC Operations

That long-running dispute over whether investors who bought CDs through the Stanford Group Company, the doomed broker-dealer in Houston, took to a new stage this ...

A senior SEC enforcement staffer's words divide the good guys from the bad. The white knights are compliance officers who do their job while the ...

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 ...