Reports indicate the U.S. Second Circuit Court of Appeals in New York has denied Bernie Madoff's request to be released from prison until he's expected ...
A new report from the SEC’s inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers. ...
Firms that engage in retail foreign exchange activities, supervision procedures that promote good compliance, sales practices to seniors, anti-money laundering efforts and other examination topics ...
It appears the Madoffs liked to name their boats after “bull,” own a $39,000 Steinway piano, several cars and houses in Manhattan, Montauk, N.Y., Palm ...
One way to relieve worries about dual registrants that self-custody client assets would be for the SEC to do a combined investment adviser and broker-dealer ...
Court documents released March 10 reveal details of the alleged Ponzi scheme run by disgraced investment adviser Bernie Madoff.As all indications suggest Madoff will ...
Amid talk of a return of the Uptick rule, the SEC has set up a meeting for April 8 to discuss whether to propose short ...
For the first time, the SEC's proposed budget for FY2010 would top $1 billion. If Congress approves that amount, the agency would be able to ...
It lasted nearly 70 years before the SEC banished the so-called Uptick rule in 2007 and now - not even two years later - the ...
Some days the investor was a Swiss money manager. Other days a private bank in Switzerland. In the end, the deep-pocketed investor was simply a ...