SEC: Regulators

The head of the SEC's Division of Trading and Markets ErikSirri will be leaving the agency at the end of April to return to academia, ...

The new director of the SEC's Enforcement Division is Robert Khuzami, who was a federal prosecutor in New York City for 11 years.For the last ...

With the SEC announcing Robert Khuzami as its new head of Enforcement, expect agency enforcers to be looking to make a bold statement. Consider the ...

Taking a look at regulations affecting investment advisers and broker-dealers. Reforming credit rating agencies. Beefing up enforcement. Applying a costs-benefits analysis to regulations. Empowering shareholders.One ...

Advisers Act compliance lapses by RIA Merrill Lynch have added up to a $1 million SEC penalty for the firm. The case contends advisory reps ...

New SEC Chairman Mary Schapiro favors the registration of hedge funds, wishes to bring CDOs and other such securities under the giant regulatory tent, supports ...

You can find dozens of new compliance answers to nagging questions on two updated Web sites from the Commission. One Web site offers answers to ...

One senator characterized the "calamitous failure" to detect Bernard Madoff's alleged Ponzi scheme as the "darkest" chapter in the country's regulation of the financial services ...

The Senate last week confirmed FINRA CEO Mary Schapiro as the new chairman of the SEC, elevating someone who has called for beefed up enforcement ...

FINRA CEO - and SEC Chairman nominee - Mary Schapiro talked with SEC Chairman Christopher Cox last August about her growing concerns that many in ...