? On March 2 Raymond James Financial named Paul Reilly as president effective May 1, and announced that a year after that date Reilly will...
News: SEC's Top Cop
Linda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...
Broker/Dealer Briefing: A Shot Over the Bow
The regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
The Playing Field: Reform Is on the Way
As new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...
Wachovia Settles SEC's ARS Charges
The SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.
Figuring Out ARS Freeze
Since the auction rate securities (ARS) market froze in February of this year, the Securities and Exchange Commission (SEC) has gotten 11 of the largest...
14 Charged with Insider Trading
The titans of Wall Street aren't involved. But a former UBS executive director, ex-Morgan Stanley compliance attorney, and several former Bear Stearns brokers are. "UBS is...
Stretched Too Thin?
No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...