SEC: Regulators

One has run the largest pension funds in the U.S. and England. Another invests exclusively in socially responsible companies. A third proudly waves the flag ...

One regulator that would look out for systemic risk teamed with a "systemic risk council" of regulators is the approach favored by SEC Chairman MarySchapiro.She ...

The head of the SEC's Division of Trading and Markets ErikSirri will be leaving the agency at the end of April to return to academia, ...

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 last ...

With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...

Taking a look at regulations affecting investment advisers and broker-dealers. Reforming credit rating agencies. Beefing up enforcement. Applying a costs-benefits analysis to regulations. Empowering shareholders.One ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

New SEC Chairman Mary Schapiro favors the registration of hedge funds, wishes to bring CDOs and other such securities under the giant regulatory tent, supports ...

You can find dozens of new compliance answers to nagging questions on two updated Web sites from the Commission. One Web site offers answers to ...

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 ...