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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 ...
One of the first things FINRA CEO Mary Schapiro would do if confirmed as the next chairman at the SEC is to “take the handcuffs ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200Release No. 34-53937RIN 3235-AJ56File No. S7-10-06Amendments to Plan of Organization and Operation Effective During Emergency ConditionsAGENCY:Securities and Exchange Commission.ACTION:Final ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 200[Release No. 34-53755DESCRIPTION OF DUTIES OF THE GENERAL COUNSELAGENCY:Securities and Exchange Commission.ACTION:Final rule.SUMMARY:The Securities and Exchange Commission (Commission) is ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Part 202Release No. 34-53638RIN 3235-AJ55Policy Statement Concerning Subpoenas to Members of the News MediaAGENCY:Securities and Exchange Commission.ACTION:Policy Statement.SUMMARY:The Securities and ...