SEC Operations

The agenda ahead for Kevin Goodman, the new national associate director of OCIE's broker-dealer exam program (IA Watch, Nov. 18, 2013), includes initiatives to carry ...

While it may sound impressive that the SEC's Office of the Whistleblower paid out more than $14 million in awards in FY 2013, consider that ...

The Department of Justice last week arrested a long-time SEC examiner for violations related to the Commission's ethics rules prohibiting certain securities holdings.According to the ...

A 21-year veteran of the SEC last week took over as the national associate director of the broker-dealer examination program within OCIE. Kevin Goodman had ...

The release states that the agency has recently asked some managers to change the names of their funds

That long-running dispute over whether investors who bought CDs through the Stanford Group Company, the doomed broker-dealer in Houston, took to a new stage this ...

A senior SEC enforcement staffer's words divide the good guys from the bad. The white knights are compliance officers who do their job while the ...

If SEC examiners called you recently promising to be on-site for an exam this week, don't assume the partial shutdown of the federal government will ...

If you lived through it, you'll never forget it - nor wish to repeat it. Many believe the financial crisis was sparked by the failure ...

The question of whether victims of the Stanford Ponzi scheme were customers who should have received some compensation from the Securities Investor Protection Corp. resurfaced ...