SEC Announces 3 Senior-Level Appointments
SEC announced this week a new administrative law judge and two other personnel moves.
Senate Finance to Vote on New Social Security Advisory Board Members
Committee will hold Wednesday open executive session to vote on new members Aaron, Chen and Cohen.
Thomas Perez, DOL’s Cautious Fiduciary Advocate: The 2014 IA 25 Profile
Labor Secretary Thomas Perez is being credited with re-energizing the DOL’s bid to amend the definition of fiduciary under ERISA. But he's proceeding carefully.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
Ex-SAC Fund Manager Martoma Found Guilty in Insider Trading Case
Former SAC Capital Advisors LP fund manager Mathew Martoma was found guilty in the most lucrative insider-trading scheme ever
Obama’s Associate Counsel Small Named SEC General Counsel
The SEC announced Tuesday that Anne Small, President Obama’s special assistant and associate counsel, has been named general counsel of the agency.
SEC Mulls Rule Proposal on Corporate Political Spending
The date, however, when such a proposal would be released remains unclear.
SEC Names Drake as Chief Compliance and Ethics Officer for OCIE
OCIE director Carlo diFlorio says Paula Drake will help OCIE “with the continued advancement of the national examination program, including leading the critical legal function, developing our national examination policy manual, and overseeing our internal compliance team.”
SEC’s Rominger Replaced by Champ, a Former Hedge Fund Counsel
Norm Champ, who's been with the SEC since 2010, brings his understanding of financial chicanery to bear on investment funds and advisors.
CFPB Architect Elizabeth Warren to Run for U.S. Senate
Consumer Financial Protection Bureau (CFPB) architect Elizabeth Warren will officially announce a Democratic run for the U.S. Senate seat held by Republican Scott Brown of Massachusetts.