SEC Investment Management Director Champ to Exit
Champ played a key role in the SEC’s money market fund reforms and instituted regular IM Guidance Updates. He will teach at Harvard Law.
15 Colleges With Best Paying Graduate Degrees: 2014
Is a master's degree worth the steep cost? That depends partially on where you choose to get it.
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.”