By Joe Mont2016-01-11T11:45:00
The SEC’s Office of Compliance Inspections and Examinations has released an overview of its examination priorities for 2016. New areas of focus include liquidity controls, public pension advisers, product promotion, exchange-traded funds, and variable annuities. A continuing focus will be placed on protecting investors in ongoing risk areas such as ...
2025-10-17T21:09:00Z By Oscar Gonzalez
Even though the U.S. federal government is currently shut down, the U.S. Securities and Exchange Commission appears to still be at work. The financial regulator is reportedly investigating a major insurance and asset management company over its accounting practices.
2025-08-27T19:46:00Z By Aly McDevitt
The SEC has named Margaret “Meg” Ryan, a senior military judge and Harvard Law lecturer, as its next Enforcement Division Director—an unconventional pick that could signal changes in enforcement strategy.
2025-08-18T14:12:00Z By Oscar Gonzalez
The owner of a water machine vending company and a portfolio manager were allegedly behind a Ponzi-like scheme that raised more than $275 million, according to the U.S. Securities and Exchange Commission.
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