SEC Operations

Sen. Ted Kaufman (D-Del.) believes the SEC has drug its feet on new short selling restrictions so he's upped the ante by calling upon the ...

The latest innovation being introduced by SEC Chairman Mary Schapiro is the creation of a 15-member committee - including representatives from at least four RIAs ...

Responding to an RFP by stating that your firm's most recent SEC exam ended with "no material weaknesses or deficiencies" could be misleading and violate ...

The SEC is seeking more money from Congress in FY 2010 even as it expects the percentage of registered investment advisory firms examiners will be ...

The tough economy has claimed its share of casualties and some advisory firms are among them. The fiduciary duty inherent in the profession binds firms ...

J. Kevin Edmundson, who works out of the Enforcement Division within the SEC Regional Office in Fort Worth, Texas - and is investigating the case ...

The battering felt of late could lead one to imagine an investment advisory industry in shambles. Au contraire. Data from various sources pieced together by ...

It began over lunch last May. David Bottoms, founder of Oaktree Asset Management, an RIA in New York, invited Peter Raimondi, president & CEO of ...

A new report from the SEC’s inspector general supports critics who have long argued the Commission has failed to enforce rules against abusive short sellers. ...

For the first time, the SEC's proposed budget for FY2010 would top $1 billion. If Congress approves that amount, the agency would be able to ...