SEC: Regulators

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

It's May 2007. In weeks, two hedge funds at Bear Stearns Asset Management would falter - triggering the plunge that touched off the world's current ...

If money managers use commission dollars of their advised accounts to obtain research and brokerage services, Section 28(e) prevents them from being held to have ...