Examinations Enforcement: SEC Actions

No signs presented themselves that an SEC exam would be in the offing, but a New York CCO took OCIE's 2013 exam priorities list and ...

The SEC charges a Microsoft senior manager and his friend with insider trading.

The SEC contends this adviser violated the custody rule because it took no action to determine whether the independent public accountants it retained to conduct ...

SEC settles with Merrill Lynch for violations related to its structuring and marketing of a series of collateralized debt obligation (CDOs) transactions.

This adviser was charged with a slew of Advisers Act violations, including of the custody rule, valuation and the principal trading rule.

SEC Charges Another Tipper in the Galleon Insider Trading Scheme

In the same week that the SEC made Scott Herckis the first person to enter a deferred prosecution agreement, his former boss Berton Hochfeld entered ...

Three firms and their CCOs took raps to the knuckles last week as the SEC again announced a trio of cases designed to warn firms ...

OX Trading provided price improvement by becoming the counterparty to certain customer orders of optionsXpress. As a result of taking the customers’ trades, OX Trading ...