Carlo DiFlorio, the new head of the Securities and Exchange Commission's (SEC) Office of Compliance Inspections and Examinations (OCIE), told attendees at the Insured Retirement...
Variable Products Move Onto SEC's Radar
SEC, FINRA to release updated report on effective VA practices
SEC Chairman Mary Schapiro told chief compliance officers attending the Commission's second CCOOutreach seminar January 26 that since more and more firms registered with the...
Schapiro: SEC Collaborating on Broker/Dealer, Advisor Exams
New OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams