SEC Operations

It began over lunch last May. David Bottoms, founder of Oaktree Asset Management, an RIA in New York, invited Peter Raimondi, president & CEO of ...

A new report from the SEC’s inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers. ...

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 ...

Congress heard SEC Chairman Mary Schapiro vow to upgrade the way the agency handles whistleblower complaints and enforcement tips in light of the Bernie Madoff ...

A criminal conviction for insider trading persuaded the SEC to bar Victor Teicher from the industry 10 years ago. But that penalty didn't stop registered ...

The president’s suggested budget for the fiscal year that begins in October would hike the SEC’s budget by 13% over its FY 2008 budget. Chairman ...

The new director of the SEC’s Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the ...

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 ...

It's unclear if the economy will heat or chill merger and acquisition activity among advisory firms. If your firm's planning or considering such a deal, ...

An investor tells IA Week he twice instructed his adviser to pull his funds out of the market. The adviser allegedly ignored the requests and ...