SEC Operations

A federal court in Illinois will begin hearing a case in September involving a reporter's request for SEC records of naked short selling investigations. The ...

The verdict's in. Earlier this month, the U.S. Court of Appeals for the District Of Columbia Circuit ruled against the SEC in its three-year lawsuit ...

It wasn't a good week for Rep. Maxine Waters (D-Calif.) and her bill, H.R. 1627, that would permit the SEC to charge user fees to ...

Should another Madoff crime occur, Congress can't say it wasn't warned. Last week, the SEC's new Office of the Investor Advocate came out for additional ...

In one case, a departing employee shipped internal documents to his new employer. In another, a former SEC examiner took records of exam reports he ...

Nearly three months after three SEC Commissioners voted to dismiss a three-year old enforcement case against Michael Pelosi, the exonerated defendant's attorney states one takeaway ...

Shockwaves reverberated throughout the industry when U.S. District Court Judge Jed Rakoff three years ago rejected a $285 million SEC settlement with Citigroup because the ...

That suggestion by SEC Commissioner Daniel Gallagher that the agency at least study the use of third party auditors to conduct adviser exams would have ...

As the saying goes, everything old is new again. That suggestion last month from SEC Commissioner Daniel Gallagher to permit private third parties to examine ...

One line in particular in a recent speech by SEC Commissioner Daniel Gallagher's sparked the ire of Consumer Federation of America's Barbara Roper: when the ...