SEC: Regulators

Last week's announcement of the creation of three subcommittees hint that the SEC's Investor Advisory Committee will first take up fiduciary duty, investor education and ...

It didn't take long for the SEC's new investor advisory committee to dive into a hot issue, fiduciary duty, in its inaugural meeting July 27. ...

With recent reports of a criminal investigation into insider trading by two SEC employees, attention is being paid to the agency's handling of personal trading ...

The growth of "global money managers" has increased cooperation internationally among regulators. The SEC has entered into agreements for greater supervision of investment advisers with ...

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 ...