SEC Operations

The SEC's proposal, released in June 2010, related to creating a consolidated audit trail that would, among other things, assist the SEC and SROs in ...

A leak of confidential information about an SEC registrant to the Wall Street Journal has led to the agency's inspector general to call for the ...

Their respective staffs have put countless hours into understanding what caused the Dow's plunge on May 6 but a definite answer has proven elusive. At ...

The SEC has revamped how it handles whistleblowers with a centralized and dedicated system for tracking complaints (IA Watch, April 5, 2010). A newly released ...

This is a copy of an SEC Inspector General report, released via a Freedom of Information Act request by IA Watch, into allegations surrounding the ...

Congressional legislation may energize the SEC's program to entice whistleblowers to come forward if new suggestions from the agency's Office of Inspector General don't. IG ...

A hedge fund manager in New York is claiming vindication of his long-held view that the SEC inappropriately investigated him after he had complained about ...

In perhaps one of the last times an SEC chairman would have to ask Congress for more money, Chairman Mary Schapiro told lawmakers last week ...

How to extend a fiduciary duty to certain broker-dealers has long tangled lawmakers and policymakers and this week members of the SEC's Investor Advisory Committee ...

Peel back the glossy cover of the President's FY 2011 budget and you'll find evidence that the Administration wants more money for the SEC to ...