Andrew J. Bowden has been named deputy director of the Securities and Exchange Commission (SEC)’s Office of Compliance Inspections and Examinations (OCIE).
The Securities and Exchange Commission (SEC) has completed a study about investors mandated by the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act.
Mary Schapiro, chairman of the Securities and Exchange Commission (SEC), said Wednesday the commission called off a vote to reform the structure of money market funds.
Thirteen trade associations filed a comment letter with the Securities and Exchange Commission (SEC), outlining objections to a proposal that would increase regulation on money market funds.
Social media offers an opportunity to build your brand. But send a seemingly innocent tweet – or “like” the wrong Facebook page – and you could step into...
Global Relay updated its Twitter archiving software to help advisers meet Securities and Exchange Commission (SEC) as well as Financial Industry Regulatory Agency (FINRA) regulations.
FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.
The Securities and Exchange Commission (SEC) hired Paula Drake as an associate director in its Office of Compliance Inspections and Examinations (OCIE).
The Commodity Futures Trading Commission (CFTC) voted to finalize definitions and exemptions as part of the new regulatory regime for over-the-counter (OTC) derivatives.
The Securities and Exchange Commission (SEC) appointed Ken C. Joseph to lead the Investment Adviser/Investment Company Examination Program in the agency’s New York office.
Gary J. Martel, of Chelsea, Massachusetts, was charged by the Securities and Exchange Commission (SEC) with defrauding investors of $1.6 million. His assets were also frozen.
The tax firm KPMG LLP formed an alliance with Axiom Software Laboratories Inc. to address new regulatory requirements facing investment advisers, such as Form PF.
The bill is crucial to protect middle-class Americans who need the services of a financial adviser, the president of the Financial Services Institute (FSI) told Congress.