SEC Operations

The question had to be asked. With Carlo di Florio, who headed up the SEC's exam program for investment advisers and investment companies for three ...

After three years as the leader of OCIE, Carlo di Florio will depart the SEC next month to become the head of FINRA’s new division ...

Both political parties have attacked President Obama's FY 2014 budget, which was finally released last week, so it may have little chance of passage but ...

Highland Capital Management ($1.2B in AUM) in Memphis thought they had the perfect man for the job. Rick Masson had retired as the chief administrative ...

Last week senators got their crack at Mary Jo White, President Obama's nominee to head the SEC. The hearing lacked fireworks, suggesting she's a shoo-in. ...

It may be weeks or months before the full effect of the federal government's budget sequester cuts comes into focus, but the broad outlines are ...

Questioning back in January by the justices suggested it wouldn't take long for the High Court to decide this one and indeed last week the ...

Big brother is listening. The SEC has begun using "an audio-searching technology" that can scan reams of voice recordings looking for evidence from conversations between ...

Last summer, then-SEC Chairman Mary Schapiro conceded money market fund reforms weren't possible after Commissioner Luis Aguilar announced he wasn't in favor of the current ...

Summary of Investment Adviser and Broker-Dealer SEC Enforcement cases FY 2012 v. 2011The SEC has crowed that the last fiscal year set a record for ...