SEC Operations

The date's Thursday, Jan. 30th when SEC headquarters will stage a national compliance outreach meeting for IA CCOs "and other senior personnel." If you can't ...

Prison time may well be in the future of two former portfolio managers after federal juries in New York brought separate convictions last week.Michael Steinberg ...

An unidentified "senior officer" at the SEC found trouble for violating agency rules by not reporting a spouse's holdings but the Department of Justice declined ...

Advisers' compliance responsibilities around the use of proxy advisory services have grown in recent years, a point made during an SEC roundtable last week (IA ...

Members of the SEC's Investor Advisory Committee Nov. 22 voted unanimously to support a recommendation to the full Commission that it adopt a rule creating ...

The agenda ahead for Kevin Goodman, the new national associate director of OCIE's broker-dealer exam program (IA Watch, Nov. 18, 2013), includes initiatives to carry ...

While it may sound impressive that the SEC's Office of the Whistleblower paid out more than $14 million in awards in FY 2013, consider that ...

The Department of Justice last week arrested a long-time SEC examiner for violations related to the Commission's ethics rules prohibiting certain securities holdings.According to the ...

A 21-year veteran of the SEC last week took over as the national associate director of the broker-dealer examination program within OCIE. Kevin Goodman had ...

The release states that the agency has recently asked some managers to change the names of their funds