SEC: Regulators

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 ...

The Senate last week confirmed FINRA CEO Mary Schapiro as the new chairman of the SEC, elevating someone who has called for beefed up enforcement ...

FINRA CEO - and SEC Chairman nominee - Mary Schapiro talked with SEC Chairman Christopher Cox last August about her growing concerns that many in ...

It's May 2007. In weeks, two hedge funds at Bear Stearns Asset Management would falter - triggering the plunge that touched off the world's current ...

If money managers use commission dollars of their advised accounts to obtain research and brokerage services, Section 28(e) prevents them from being held to have ...