SEC Operations

Allegations of not disclosing hidden fees beat at the heart of the SEC's action against Ernest Montford, but the case's challenge of Congress's 180-day deadline ...

Lawmakers last week peppered SEC Chair Mary Jo White on a range of issues, from FSOC leaning toward declaring large advisers as posing potential systemic ...

Last week, the government signed a deferred prosecution agreement with Steven Gilchrist, the former SEC examiner who could have faced prison for allegedly lying about ...

This month, the SEC's Division of Investment Management granted Invesco Advisers ($422B in AUM) in Atlanta the right to combine universities, hospitals and other 403(b) ...

Last year, we told you about the SEC's Office of Inspector General investigation into a "senior officer" who had violated the agency's rules on reporting ...

Last week's SEC roundtable on cybersecurity painted a disquieting picture of the potential risks from bad elements intent on causing mischief within the connected world ...

Beginning next month and running through June, the SEC and FINRA will stage joint programs "open to all risk, audit, legal and compliance professionals employed ...

It's not very likely to get anywhere in Congress, but the SEC's new budget justification plan asks for 275 new positions to raise the percentage ...

We told you last week that OCIE plans a sweep exam to gauge firms' ability to prevent and deal with cyber threats (IA Watch, March ...

Perhaps no regulatory issue being contemplated at the SEC can affect you more than harmonization - linking the investment adviser and broker-dealer regimes. Last month's ...