SEC Operations

Another day, another Dodd-Frank study from the SEC. This one satisfies lawmakers request that the agency consider ways to improve investors’ access to data on ...

The SEC’s Division of Investment Management will have new leadership next month when Eileen Rominger takes over as director. She worked during the past 11 ...

SEC employees have a new internal hotline to alert Inspector General David Kotz of anonymous tips. Congress suggested such a hotline in its Dodd-Frank reforms. ...

The SEC's Inspector General David Kotz in a new report finds no "concrete and tangible evidence" to indicate the agency timed last April's news of ...

You certainly know the risks firms can face for violating the privacy protections of Reg S-P IA Watch, July 27, 2009), so it may surprise ...

Last week a court in Texas accepted a no contest plea from an SEC attorney in a misdemeanor charge of resisting arrest by a Fort ...

The Commission announced Tuesday that its head of the Division of Investment Management, Andrew “Buddy” Donohue, will leave the agency this fall after serving four ...

It didn't take lawmakers long to try to amend the new financial regulatory reform law. A group of four senators - Democrats and Republicans - ...

Gary Aguirre has been a thorn in the SEC's side since the Commission fired him in 2005. Last month the agency agreed to pay the ...

A copy of the Senate's investigation into the SEC's handling of the Gary Aguirre case.