SEC Operations

Apparently it's called a "corrective action review" and OCIE's projecting that it will occur in 5% of IA/IC exams. If examiners find many deficiencies and ...

Last week the SEC officially named Jane Jarcho as the national associate director of the investment adviser and investment company exam program within OCIE. She ...

Now that all required advisers have filed their initial Form PF with the SEC, the agency has satisfied another Dodd-Frank requirement by sharing with Congress ...

SEC commissioners have rejected the proposed enforcement settlement with Philip Falcone and his firm Harbinger Capital Partners ($3.1B in AUM) in New York (IA Watch, ...

It just got easier for the SEC to book a trip to Europe to check on an investment adviser doing business there and for EU ...

For the first time in the nearly four-year history of the SEC's Asset Management Unit (IA Watch, Jan. 18, 2013), the branch of the Enforcement ...

You'd expect two former Senate staffers to encounter a friendly bunch when appearing before the Senate Banking Committee to forward their nomination to be SEC ...

The Commission took one on the chin last week in a case in which it had barred a former broker from working in the industry ...

It looks like one of the last actions long-time SEC staffer Robert Plaze completed before retiring last year was a revised version of a white ...

The game's far from over but at halftime investment advisers hold a big lead over their broker-dealer counterparts in the race for comments over the ...