SEC Operations

Congress heard anew last week the challenges the SEC faces in being tasked with examining thousands of investment advisory firms. In fresh testimony and a ...

The SEC's Enforcement Division should have admitted it had a policy to destroy matters-under-inquiry (MUI) records when responding to the National Archives but its 30-year ...

The Senate has approved Daniel Gallagher as the newest SEC commissioner (IA Watch, May 23, 2011). When he is formally sworn in, the Commission will ...

Their voices may not reach the decibels of those occupying Wall Street - nor do their numbers - but more than 70 persons and organizations ...

Earlier this month, all SEC employees received a letter from the agency's chief privacy officer alerting them of "an incident" involving a vendor hired to ...

The Madoff scandal continues to dog the SEC. Last week a House subcommittee queried SEC Chairman Mary Schapiro and former agency General Counsel David Becker ...

Beginning next month, branch managers within OCIE will be known as "exam managers" and will be accompanying examiners in the field, the latest modification in ...

This could be one lottery you wouldn't want to win. Staffers within the SEC's Office of Investment Adviser Regulation have been instructed to "read a ...

John Walsh, OCIE's long-time chief counsel announced last week that he will leave the agency after 23 years. This is expected to be his last ...

Lawmakers heard an important voice last week saying an SRO for advisers will be needed if Congress doesn't give the SEC the money to examine ...