Examinations Enforcement: SEC Actions

A year after the market downturn and months after Madoff, the SEC is embarking on new reforms, fueled by new leadership, energy and focus, and ...

Compliance officers have never felt busier but they need to do a better job of mixing with the business teams and uncovering conflicts. "Unfortunately we're ...

Five new specialized units being created by the SEC's Enforcement Division (IA Watch, Aug. 10, 2009) will be assisted by more sweep exams by the ...

The sources won't permit their names to be used - and the SEC and FBI decline to comment - but there are mounting voices claiming ...

Perhaps it was the SEC's fraud charges that played a role in the disappearance of RIA owner Knox Fuqua of Charleston, W. Va., or maybe ...

Another legacy of the Madoff case is SEC enforcement and exam staff will be more diligent, cover more bases, spend more time with firms, ask ...

It appears the SEC has tracked down accused fraudster Glenn Manterfield (IA Week, Aug. 24, 2009). The agency had found it somewhat difficult to serve ...

As early as November the SEC's Inspector General expects to release another investigative report - this one peering into why OCIE examiners never visited Bernard ...

When college pitcher Bryan Price signed with the Boston Red Sox last year, he was looking for a place to park his $200,000 signing bonus. ...

The meeting was so important it warranted being broadcast to all of the SEC's regional offices, yet the doors were closed to the public.IA Week ...