SEC Operations

As the hours tick toward a budget showdown that could shutter much of the federal government, the SEC has released its contingency plan to the ...

You could call it tilting at windmills or an attempt to break new legal ground, but several investors who lost their cash in the alleged ...

This is the famous U.S. Court of Appeals' decision from 2006 in the Phillip Goldstein v. SEC case that overturned the Commission's attempt to regulate ...

One issue arising from the financial meltdown that Congress didn't address in Dodd-Frank concerned the so-called "revolving door" between those who work at the SEC ...

The Office of Compliance Inspections and Examinations' new National Exam Manual appears to be taking shape. It should end up around 100 pages, be "relatively ...

With the hindsight provided by two years' time, SEC Chairman Mary Schapiro told a House subcommittee last week that former Commission general counsel David Becker ...

Key SEC staffer informed Commission of Madoff profits two years ago The SEC is casting doubt on the initial story put out last week by ...

The political sides lined up last week before Congress over whether to breathe new life into Dodd-Frank reforms or suffocate them, even as the President ...

The anonymous tip claimed a former OCIE supervisor in the SEC's Los Angeles Regional Office had "bullied" examiners not to investigate red flags at a ...

Perhaps you've heard that SEC Chairman Mary Schapiro recused herself from voting on the recent SRO study release (IA Watch, Jan. 24, 2011) because of ...