SEC Operations

President Obama confirmed the rumors last week by selecting Mary Jo White as SEC chairman, the tough-nosed prosecutor who put behind bars the likes of ...

Joining the latest line of SEC staffers hitting the exits, Enforcement Director Robert Khuzami has announced he's leaving the agency. The departure had been expected. ...

Five months after being named the new Director of the SEC's Division of Investment Management, Norm Champ has shed light on where he's taking the ...

While it came as no shock when SEC Chairman Mary Schapiro tendered her resignation effective Dec. 14th, stepping away as one of the longest tenured ...

OCIE only examined 8% of RIAs between October 2011 and September 2012, coming up short of its goal of 9%, according to a new report. ...

The difference was only one case, but SEC enforcement actions between Oct. 2011 and Sept. 2012 totaled 147 - a single digit ahead of the ...

The rancor leading into last week's elections now gives way to concern as to whether the former combatants can turn into partners and deal with ...

Read last month's no-action letter from the SEC involving TACT Asset Management in New York as more fallout from Dodd-Frank. That law's elimination of the ...

The role of data in helping the SEC to select firms to target is well known (see related story). The next stage looks to be ...

Its views aren't binding on the SEC but the agency's Investor Advisory Committee agreed to send recommendations to commissioners to toughen investor protections when they ...