SEC: Regulators

Certain types of deal may not require a fairness opinion, a case likely to be made to the regulator during the ongoing consultation period.

A Connecticut accountant and her firm let a private fund adviser juice his funds’ valuations in what one judge later called “a shocking fraud,” the ...

Proposal uses present tense, not future tense, and industry is worried

Firms would have to hire PCAOB-registered (and inspected) accountants

"I’ve also asked staff to make additional recommendations for the Commission’s consideration with respect to broker-dealers, Regulation SCI, and intermediaries’ requirements regarding customer notices (Regulation ...

'Strict liability,' steep penalties should spur AML action, expert says

The industry is staring down a portentous, menacing road of new regulations.

Video offers "high-level overview" of historic reform proposals

Expert sees regulatory jujitsu in Chairman's moves

Advocate sees sign of industry's maturity