SEC Examinations

Last year the SEC visited 8% of RIAs. If Congress were to grant the President's FY 2013 budget - which would kick in in October ...

The Office of Compliance Inspections and Examinations' new National Exam Manual appears to be taking shape. It should end up around 100 pages, be "relatively ...

A hedge fund manager in New York is claiming vindication of his long-held view that the SEC inappropriately investigated him after he had complained about ...

An attorney for the SEC's Enforcement Division in Fort Worth, Texas, is scheduled to go to court Aug. 24 to face charges of misdemeanor assault ...

One compliance officer reports three firms within a one-mile radius underwent exams recently in the same week.File this occurrence as an additional sign that authorities ...

The SEC's first regional CCOutreach meeting since the market meltdown, Madoff, Stanford and the rest reflected the times. The Dallas gathering May 11 focused on ...

Credit Bernard Madoff for prompting the tax man to change its rules. The IRS announced last week two new rulings that allow victims of Ponzi ...

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 ...

The SEC, under new Chairman Mary Schapiro, is freeing things up to enable staff to act faster and with more efficiency - an effort that ...

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 ...