SEC Operations

The SEC's helping investors avoid being ripped off, in part, by encouraging them to check out if an investment adviser is registered.The agency recently released ...

Perhaps you remember the story after 9/11 about unknown investors who sold short U.S. airline stocks just before the terrorist attack. That story may have ...

A window opened last week on more changes within the SEC's revamped Enforcement Division as Director Robert Khuzami named the heads of five new specialized ...

Within the next month, Carlo di Florio, a partner with PricewaterhouseCoopers in New York, will assume the top chair within the SEC's Office of Compliance ...

Two unidentified regional SEC attorneys in the Enforcement Division eagerly await a report coming from SEC Inspector General David Kotz (IA Watch, Dec. 7, 2009). ...

The SEC treats larger brokerage firms that get into trouble better than smaller firms, says a Harvard fellow who has investigated nearly four years of ...

Look for a report soon from the SEC Inspector General about two Commission staff attorneys in regional offices of the Enforcement Division who violated agency ...

This one must have gotten lost behind a filing cabinet. The SEC last week released a no-action letter from 1996. It related to when an ...

You wouldn't be faulted for reading the SEC's CCOutreach change as a sign of its view on investment adviser and broker-dealer harmonization. The agency announced ...

Citing "serial, gross negligence" by the SEC in failing to uncover the Madoff scandal, two former clients of the Ponzi schemer are suing the Commission ...